Compliancy Services

Compliancy Services

Our award winning services help firms that are regulated by the Financial Conduct Authority or the Prudential Regulation Authority to become authorised, manage their ongoing compliance and regulatory obligations and empower their staff with focused compliance training. What makes us stand out is the skill and expertise of our team, which includes ex-regulators, industry practitioners and subject matter experts. Through the breadth and depth of their collective expertise and experience, we offer an outstanding service interpreting the regulations and providing practical, usable advice and solutions that work for your business and the regulator.

CPD Courses & Workshops

Finance

FCA Regulatory Environment

Compliancy Services

A 30 minutes online training course to help Firms understand and increase the fundamental knowledge...
Online Course
Finance

Anti-Money Laundering and Counter Terrorist Financ...

Compliancy Services

A 60-minute online training course to help Firms and their employees understand and increase fundame...
Online Course
Finance

Fraud Awareness

Compliancy Services

A 50 minutes online training course to help Firms be more aware of applicable fraud regulations and...
Online Course
Finance

Complaints Handling

Compliancy Services

A 30 minutes online training course to provide staff training on Complaints Handling rules under the...
Online Course
Finance

Basic Insurance Principles

Compliancy Services

A 30 minutes online training course for staff working in the insurance sector to understand basic in...
Online Course
Finance

Treating Customers Fairly

Compliancy Services

A 45 minutes online training course for FCA Regulated Firms to train their staff on the Treating Cus...
Online Course
Finance

Anti-Bribery and Corruption

Compliancy Services

A 40 minutes online training course to provide staff training on Anti-Bribery and Corruption and ens...
Online Course
Finance

Introduction to General Data Protection Regulation

Compliancy Services

A 30 minute online training course to provide staff training on the key principles of the General Da...
Online Course
Finance

Complying with General Data Protection Regulation

Compliancy Services

A 30 minute online training course to help senior managers of firms subject to the General Data Prot...
Online Course
Finance

Insurance: Conduct of Business Sourcebook

Compliancy Services

A 30 minute online training course to provide staff training to understand the rules set out in the...
Online Course
Finance

Conduct of Business

Compliancy Services

A 90 minutes online training course for FCA Regulated Firms carrying out designated investment busin...
Online Course
Finance

Financial Promotions for Investment Firms

Compliancy Services

A 45-minute online training course to provide training to staff of FCA Regulated Investment Firms on...
Online Course
Finance

Financial Promotions relating to Insurance

Compliancy Services

A 45-minute online course to provide staff training on the financial promotion requirements outlined...
Online Course
Finance

Introduction to Electronic Money Regulations 2011

Compliancy Services

A 45-minute online training course to provide staff training on the Electronic Money Regulations 201...
Online Course
Finance

Introduction to Payment Services Regulations

Compliancy Services

This 45-minute course will allow learners to understand the UK Payment Services Regulations 2017 and...
Online Course
Finance

Senior Managers & Certification Regime

Compliancy Services

The Senior Managers and Certification Regime (SM&CR) is an accountability framework that changed how...
Online Course
Finance

SM&CR Conduct Rules

Compliancy Services

Under the Senior Managers and Certification Regime (SM&CR); FCA and PRA regulated firms are required...
Online Course
Finance

Introduction to Market Abuse

Compliancy Services

The Market Abuse Regulation (MAR) aims to increase market integrity and investor protection. This co...
Online Course
Finance

Vulnerable Customers

Compliancy Services

Protecting the interests of vulnerable consumers is a key focus for the FCA and the FCA expects firm...
Online Course
Finance

Whistleblowing

Compliancy Services

Whistleblowing is an activity protected by law under the Public Interest Disclosure Act 1998 and it...
Online Course
Finance

FCA Regulations for Full Permission Credit Related...

Compliancy Services

A 45-minute online training course designed for full permission consumer credit firms regulated by t...
Online Course
Finance

Assisting Customers with Claims

Compliancy Services

A 30-minute online training course designed to provide staff training for firms handling insurance c...
Online Course
Finance

Banking Conduct of Business

Compliancy Services

A 45-minute online training course for Banking Firms subject to FCA Handbook Banking Conduct of Busi...
Online Course
Finance

Claims Management: Conduct of Business Sourcebook

Compliancy Services

An online training course designed for Claims Management Companies. The course provides an overview...
Online Course
Finance

Dealing and Managing

Compliancy Services

A 45-minute online training course designed to provide staff training for investment firms on FCA Ha...
Online Course
Finance

FCA Competence Supervision

Compliancy Services

A 30 minutes online training course to provide staff training on FCA Competence Supervision and ensu...
Online Course
Finance

FCA Regulations for Limited Permission Credit Rela...

Compliancy Services

A 45-minute online training course designed for limited permission consumer credit firms regulated b...
Online Course
Finance

Mortgage: Conduct of Business Sourcebook

Compliancy Services

This course allows the learner to understand the regulations of the Mortgage and Home Finance Source...
Online Course
Finance

Payment Services & E-Money Conduct of Business Req...

Compliancy Services

This course is designed for an FCA regulated payment services providers or E-money institutions. It...
Online Course
Finance

Conflicts of Interest

Compliancy Services

A 35-minute online training course to provide staff training on Conflicts of Interest for FCA Regula...
Online Course

CPD Subsectors

Banking & Investments
Financial Advisory
Insurance & Risk
Anti Money Laundering AML