Anti-Bribery and Corruption

This course will help your employees understand their obligations with the requirements of The Anti-Bribery Act 2010.

It breaks down the 2 general offences of bribery – active and passive, as well as the Section 7 corporate offence of failing to prevent bribery. Your employees will also learn the risks of conducting business overseas, including the different forms of duress that may be encountered on a business trip.

They will gain an understanding of the types of hospitality and gifts that are acceptable, and the types that raise a red flag.

Finally, this course covers the six principles as set out in the Anti-Bribery guidance published by the Ministry of Justice, a requirement under Section 9 of The Act.

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FCA Compliance Overview

This course teaches you the basic principals of what the FCA requires for you to be compliant.

Additional courses are available which go into the finer detail which may be required by the FCA to consider your company to have sufficiently trained all staff in the required compliance.

This course is aimed at all staff so they are aware of the requirements of all departments in an organisation, and in what areas the FCA requires the organisation, as a whole, to be trained.

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Financial Promotions

There are strict rules for financial promotions, with serious consequences for breaching these rules. Our course can help you understand the requirements of a compliant financial promotion. You will learn how the FCA’s principles for businesses apply, how information needs to be balanced fairly and clearly, and how to avoid prohibited words and phrases.

You will gain an understanding of the two defined types of financial promotion – real-time and non-real-time, and the associated risks and misconceptions of using social media for financial promotions.

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Fraud

Fraud costs the UK an estimated £190 Billion annually, so it is important to be able to detect, identify and mitigate fraud to protect both your clients and your firm.

Our Fraud course covers the three general circumstances that can lead to employees committing internal fraud – motivation, opportunity and rationalisation, and some common warning signs to look out for. It covers the types of internal fraud, such as accounting and kickbacks, and external fraud such as identity theft and the use of social engineering.

Finally, this course also covers the policies and procedures that can help mitigate the risks, and how employees can respond if they identify or suspect fraudulent activity.

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GDPR

Data protection regulations manages how businesses use personal information, how it can be collected, and for how long it can be retained.  The new EU General Data Protection Regulations (GDPR) are in effect and we all need to be fully compliant.

This course will help you understand the requirements from the General Data Protection Regulation, how those rules are relevant for businesses and employees’ responsibilities for protecting personal information. 

Are you doing everything you should to comply with the General Data Protection Regulations? If you don't know, you need our General Data Protection Regulation application!

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Information Security

Failure to apply robust information security procedures can leave your firm, employees and clients exposed to serious risks. This course will help you protect confidential information from unauthorised disclosure and ensure it is trustworthy, accurate and reliable to access. You will learn best practices, how to be alert and respond to ongoing, attempted or potential information security incidents.

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Market Abuse

The Market Abuse Regulations aim to increase market integrity and investor protection, thereby enhancing the attractiveness of securities markets for capital raising. Our course covers the rules and guidance of the Market Abuse regime, as well the policies and procedures that should be in place, in relation to insider dealing, improper disclosure, manipulating transactions, manipulating devices, misleading behaviour and market distortion.

Also covered is how to identify the intent behind market rumours, and how the rules affect you if you are approached as a market sounding contact point.

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Senior Managers Certification Regime

The Senior Managers & Certification Regime replaces the Approved Persons Regime for FCA solo-regulated firms, and aims to strengthen market integrity, reduce harm to consumers and improve conduct at all levels. 

This includes prescribed responsibilities and specified conduct rules for Senior Managers and the requirement to document those responsibilities and accountabilities, and the Certification Regime which covers specified non-senior-management functions. SM & CR also includes conduct rules that apply to all individuals at a firm.

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Treating Customers Fairly

Behaving ethically and treating customers fairly is crucial to a firms’ reputation and long-term success, and the FCA’s Treating Customers Fairly (TCF) initiative aims to ensure the customers’ interests are at the heart of the firms’ business.

Our course will help you to understand the FCA’s principles for businesses in the context of TCF, the six high-level outcomes that are central to the FCA’s expectations of firms, and the critical areas of behaviour that can influence a firms’ culture.

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