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FCA Compliance Essentials

A Comprehensive eLearning Library

London Governance & Compliance Academy

Summary

Price
£499 inc VAT
Or £55.44/mo. for 9 months...
Study method
Online
Course format What's this?
Reading material - PDF/e-book, slides
Duration
40 hours · Self-paced
Qualification
No formal qualification
CPD
40 CPD hours / points
CPD What's this?
Certificates
  • Certificate of Completion - Free

Add to basket or enquire

Overview

Begin your journey in compliance management with practical knowledge of the laws and legislations that make up the regulatory field in the United Kingdom.

Do you know that FCA sets an annual CPD requirement both for senior managers and employees of financial service firms?

As per TC 2.1.15 & 2.1.16, the requirement is 35 hours in each 12 months, including 21 hours of structured CPD activities.

Furthermore, TC 2.1.20G27/05/2022 defines structures CPD activities as follows:

“Examples of structured continuing professional development activities include participating in courses, seminars, lectures, conferences, workshops, web-based seminars or e-learning.”

Our FCA Compliance Essentials Bundle, fulfilling and even exceeding the FCA requirement in terms of CPD hours, is ideal for any professional within Financial Services.

LGCA's FCA Compliance Essentials Bundle provides you with a unique opportunity to access courses of £ 2,400.- overall value for just a fraction of their price.

CPD

40 CPD hours / points
Accredited by The CPD Certification Service

Description

LGCA's FCA Compliance Essentials eLearning library currently includes the following courses:

  1. AML Risk Assessment
  2. AML Suspicious Activity Reports and Suspicious Transaction Reports (SAR/STRs)
  3. Anti-Bribery and Corruption
  4. Anti-Money Laundering and Counter Terrorist Finance
  5. Approved Persons Regime
  6. Assessing and Managing AML Risks
  7. Building an AML Risk-based Approach
  8. CASS Introduction
  9. Complaints Handling
  10. Compliance Introduction
  11. Compliance Monitoring and Testing
  12. Conduct Rules for All Staff
  13. Conflict of Interest (COI)
  14. Consumer Duty
  15. Establishing and Maintaining a Strong CDD Programme
  16. Ethics, Integrity and Fairness in Financial Services
  17. FCA: the Role and Approach
  18. Financial Promotions Regulation
  19. Fraud Detection and Prevention
  20. GDPR Awareness
  21. Introduction to Cybersecurity
  22. Introduction to Know Your Client (KYC) and Customer Due Diligence (CDD)
  23. Market Abuse (MAR)
  24. Operational Resilience
  25. Senior Managers and Certification Regime
  26. SM&CR – The Conduct Rules
  27. Suspicious Transactions/Activity Reporting
  28. The Value of Customer Due Diligence (CDD)
  29. Treating Customers Fairly
  30. Vulnerable Customer Management
  31. Whistleblowing
  32. Creating a Compliance Culture in Financial Services

Who is this course for?

  • Financial Services Providers
  • Accounting Offices
  • Financial Institutions
  • Brokers
  • Wealth & Fund Managers
  • Investment Firms
  • Insurance Companies
  • Law Firms
  • Compliance Consultants
  • Payment Solutions Providers
  • FinTech & RegTech Companies
  • Fiduciary Services Firms

Questions and answers

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Certificates

Certificate of Completion

Digital certificate - Included

Reviews

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Legal information

This course is advertised on reed.co.uk by the Course Provider, whose terms and conditions apply. Purchases are made directly from the Course Provider, and as such, content and materials are supplied by the Course Provider directly. Reed is acting as agent and not reseller in relation to this course. Reed's only responsibility is to facilitate your payment for the course. It is your responsibility to review and agree to the Course Provider's terms and conditions and satisfy yourself as to the suitability of the course you intend to purchase. Reed will not have any responsibility for the content of the course and/or associated materials.

FAQs

Study method describes the format in which the course will be delivered. At Reed Courses, courses are delivered in a number of ways, including online courses, where the course content can be accessed online remotely, and classroom courses, where courses are delivered in person at a classroom venue.

CPD stands for Continuing Professional Development. If you work in certain professions or for certain companies, your employer may require you to complete a number of CPD hours or points, per year. You can find a range of CPD courses on Reed Courses, many of which can be completed online.

A regulated qualification is delivered by a learning institution which is regulated by a government body. In England, the government body which regulates courses is Ofqual. Ofqual regulated qualifications sit on the Regulated Qualifications Framework (RQF), which can help students understand how different qualifications in different fields compare to each other. The framework also helps students to understand what qualifications they need to progress towards a higher learning goal, such as a university degree or equivalent higher education award.

An endorsed course is a skills based course which has been checked over and approved by an independent awarding body. Endorsed courses are not regulated so do not result in a qualification - however, the student can usually purchase a certificate showing the awarding body's logo if they wish. Certain awarding bodies - such as Quality Licence Scheme and TQUK - have developed endorsement schemes as a way to help students select the best skills based courses for them.
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