Training that's regulated
Financial services organisations are faced with the important issues of ethics, integrity and governance. Using Learning Pool's Financial Services Suite, you can train your employees to reflect these issues. This is an essential requirement in today’s highly regulated environment.
Gain an overview of the various types of financial markets, including an introduction to some of the common terminology associated with financial markets.Examine the role played by regulators in controlling and overseeing the correct and proper performance of financial markets.
This Introduction to FCA module explains the role and responsibilities of the Financial Conduct Authority (FCA), its processes, handbook and the responsibilities of authorised firms. Key topics include: ● Background to regulation ● Regulated activities and authorisation ● FCA Handbook and high level sourcebooks ● Approved Persons ● Conduct of Business ● Regulatory processes
Defining the main categories of financial crime, what the rules are covering them and the role of the regulator are all included in this module. Key topics include: ● Defining financial crime ● Money laundering ● International sanctions ● Impact on the Financial Services Industry ● Main types of financial crime
This module outlines the requirements of the Data Protection Act and what is needed to comply. Key topics include: ● Rules and regulations ● General principles of Data Protection ● Fair and lawful processing of information ● Individual responsibilities ● Consequences of breaching data protection rules
Offering guidance about how to fulfil the regulatory responsibility for Treating Customers Fairly (TCF) and includes how firms can meet the regulator’s expectations. Key topics include: ● FCA expectations ● TCF model ● Product lifecycle ● Risks ● Management information
This learning covers the main elements that financial services firms need to take into account when considering conduct risk, setting strategy and business plans. Key topics include ● Impact of poor conduct risk on markets ● What appropriate customer outcomes are ● Risks to appropriate consumer outcomes ● Steps to take to achieve permanent improvements
Bribery and Corruption - At the core of this module are the rules relating to anti-bribery, the procedures that firms need to adopt and how they should be implemented. Key topics include: ● Identifying bribery and corruption ● Risks faced by firms ● Scenarios ● Consequences