Courses | E3 Compliance Training Ltd

Anti Money laundering

This course provides staff working in financial services companies with an understanding of the process of money laundering, the laws and regulations that make it illegal and the responsibilities of employees to help detect and prevent it.

Tackling money laundering is essential in our fight against financial crime and terrorist financing. Each year billions of illicit funds are being laundered by drug barons, terrorists and arms traffickers around the world.

How good is your money laundering radar? Can you spot the red flags? Then prove it with our AML game!

More info

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.

More info

Approved Persons

The Approved Persons regulations protect consumers and the UK financial system by making sure that individuals who perform key functions in the financial services industry are of high caliber.

The FCA (Financial Conduct Authority) and PRA (Prudential Regulation Authority), who control the activities and behaviour of approved persons, have authority to discipline those who fail to adhere to the regulators’ standards of personal conduct and accountability.

Are you doing everything you should to comply with Approved Persons Regulations? Do your staff know the regulations? If not, you need our Approved Persons application!

More info

Client Assets

If your firm holds and controls client money and safe custody assets as part of your day-to-day business, then you must follow the rules set out in the FCA’s Client Assets Sourcebook.

This course covers these requirements to ensure that you can identify and protect client assets, how to identify if you are a CASS large, medium or small firm, and how to perform internal reconciliations using the method set out by the FCA.

More info

Complaints

The Financial Conduct Authority (FCA) consider effective handling of complaints as essential and has specified rules on how complaints should be dealt with. Our Complaints course explains the principles and procedures for managing customer complaints promptly, fairly, and effectively. And with your company’s reputation on the line, this is a course you can’t afford to ignore.

Take this course and learn what you need to do and how to behave in order to keep both your customers, and the FCA happy!

More info

Conflicts of Interest

Navigating conflicts of interest can be difficult, as even when there is no evidence or intention of improper conduct, the mere perception of a conflict can create the appearance of impropriety. This can be damaging to a firms’ reputation, so it is vital to have a thorough understanding of how to identify and mitigate conflicts of interest.

This course covers the FCA’s definitions and rules around conflicts of interest, how you can identify conflicts of interest, and the policies and procedures that can help your firm remain compliant.

More info

Criminal Finance Act

Under the Criminal Finances Act 2017, relevant bodies will be held to account if they fail to prevent the deliberate and dishonest facilitation of tax evasion by an associated person. This course covers the four stages that will consider whether a tax evasion offence has taken place, covering both domestic and foreign offences.

It also covers the policies and procedures that minimise the risk, and the common red flags to look out for. Having demonstrable procedures in place can be a defence against prosecution.

More info

Cyber Security

The digital revolution presents huge advantages, but also brings new risks that we need to understand and tackle, given our increasing dependence on computers and electronic devices. Cyber security skills are essential to any organisation committed to addressing the increasing and pervasive risks associated with cyber attacks.

This Cyber Security training course provides the knowledge to help you understand how the hackers may target you and prevents you being the weak link in your company's IT security systems. Is your company up to the challenge?

More info

Data protection

Handling personal information has become a key challenge for all organisations, and one that they are legally obliged to understand. Your company has to securely manage personal digital information on customers, employees and suppliers. Under the Data Protection Act, some faults are treated as criminal offences.

Are you doing everything you should to comply with Data Protection regulations? Do your staff know the regulations?

If not, you need our Data Protection application!

More info

Equality & Diversity

Our Equality & Diversity course is intended to acquaint employees with the benefits of working in a diverse environment, help them recognise discrimination and other barriers, and inform them of how to comply with the UK Equality Act 2010.

The course covers the nine protected characteristics under the Act – such as age, gender and disabilities - the characteristics that define who you are. It also covers how this should be applied in the workplace, as well as exemptions, exceptions, liability and responsibility.

More info

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.

More info

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.

More info

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.

More info

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!

More info

Health & Safety

Health & Safety is not just about knowing the steps employers take to ensure a safe workplace. We all share equal responsibility and failure to follow the rules can put you and your colleagues at risk of sickness, injury or worse.

This course covers all aspects of Health & Safety, including hazards from misplaced or damaged equipment, correct manual handling techniques, using display screen equipment safely and comfortably, employee welfare and what to do if you want to report a concern.

More info

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.

More info

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.

More info

Mental Health Awareness

Mental health awareness is incredibly important in our society today. With mental health issues on the rise, it is essential that we all become more aware of the signs of mental health problems and how to support those affected.

This Mental Health Awareness Course can provide individuals with the opportunity to increase their understanding of the signs and symptoms of mental health issues, as well as how to provide support and resources for those who may be struggling. This course can also help to reduce the stigma around mental health and allow individuals to talk openly about their own struggles and those of their loved ones.

By increasing our knowledge and understanding of mental health, we can all make a difference in creating a more supportive, compassionate, and understanding society.

More info

More info

Register of Overseas Entities

The Economic Crime (Transparency and Enforcement) Act 2022 introduced the new Register of Overseas Entities (ROE), which is aimed at improving transparency in UK property ownership by making it mandatory to register all beneficial owners at Companies House.

This course will cover the scope and requirements of the ROE, including the jurisdiction of an overseas entity and the conditions of registering beneficial owners. It also covers the information required by Companies House and requirements of verifying this information.

More info

Want to try a course with a free test flight?

Register for a free course trial