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Compliance for small UK firms in financial services
When regulators come calling, be ready to evidence your staff compliance. Anti-Money Laundering, Bribery, GDPR, Harassment, FCA and more in one subscription that works from day one. No setup, no IT, no content to build.
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Browse over 150+ courses designed to meet the needs of small firms, with focus on financial services in the UK.
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Understanding Modern Slavery
Modern slavery remains a persistent, inhumane practice affecting millions through forced labour, trafficking and exploitation.
Understanding Bribery
Bribery is not always obvious and can take many subtle forms, from lavish gifts to preferential treatment.
Gifts and Hospitality
Gifts and hospitality can create a risk of actual or perceived bribery if not handled correctly.
Spot a Phishing Attempt
Phishing emails are fraudulent attempts by cybercriminals to trick individuals into revealing sensitive information.
Abuse of Position
Fraud by abuse of position occurs when someone in a position of trust dishonestly exploits their role for personal gain or to cause loss to others.
Whistleblowing
Whistleblowing is the act of reporting wrongdoing such as fraud, bribery or safety breaches to protect an organisation and its stakeholders.
Understanding Sanctions
Sanctions restrict business dealings with specific individuals organisations or countries to support global peace, human rights and crime prevention.
Money Laundering Red Flags
Detecting and reporting money laundering red flags is essential for maintaining anti-money laundering (AML) compliance.
Business Email Compromise
Business Email Compromise (BEC) is a targeted cyberattack where criminals impersonate executives or hack accounts to steal money or sensitive information.
Speak Up
Speaking up against misconduct or unethical behaviour can be challenging, but it is essential to maintaining integrity in the workplace.
Understanding Fraud
Fraud is a deliberate act of deception aimed at obtaining an unfair advantage, often causing harm to individuals or organisations.
Display Screen Equipment
Correctly setting up display screen equipment (DSE) is crucial for maintaining comfort and preventing strain or injury.
Identity Fraud
Identity fraud occurs when criminals steal personal information to commit fraud, often leading to financial loss and reputational damage.
Slips and Trips
Slips and trips are among the most common causes of workplace injuries, often resulting in serious harm such as fractures or concussions.
Manual Handling
Manual handling tasks, such as lifting, carrying, pushing or pulling objects, can lead to injuries if not done correctly.
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Understanding Conflicts of Interest
A conflict of interest is where competing interests interfere with the exercising of judgement in a relationship.
Foreign Agent Bribery Risk
Operational risk in financial services arises from internal process failures, people, systems or external events.
Compliments vs Sexual Harassment
Genuine compliments can be part of a positive workplace, but inappropriate remarks can cross the line into sexual harassment.
Failing to Disclose Information
Fraud can occur when someone deliberately withholds information to gain an unfair advantage or cause loss to others.
Targets of Sexual Harassment
Sexual harassment can occur in various forms and affects everyone in the workplace.
Crossing the Line into Sexual Harassment
Sexual harassment is not limited to physical actions but can also involve words, gestures and persistent unwanted attention.
Understanding Harassment
Harassment is unwanted conduct that violates a person’s dignity or creates an intimidating or offensive environment.
Forced Labour Indicators
Forced labour is a serious violation of human rights, often hidden within workplaces and supply chains.
Interacting on Social Media
Social media offers great opportunities for communication, but it also presents risks to data protection, security and reputation.
Deepfake Awareness
Deepfakes use artificial intelligence to create fake images, audio or videos that can deceive individuals and organisations.
Horizontal Agreements
Competition drives innovation, fair pricing and better services for customers.
Understanding Information Security
Information security is essential to protect sensitive business and customer data from unauthorised access, breaches and cyber threats.
The Three Stages of Money Laundering
Money laundering is the process criminals use to disguise illicit funds as legitimate income through placement, layering and integration.
Common Cyber Threats
Cyber threats such as phishing, malware, ransomware and unsecured networks pose significant risks to businesses.
Preventing Tipping Off
Tipping off is a criminal offence that occurs when someone under investigation for financial crime is made aware of the suspicion against them.
Understanding the GDPR
The General Data Protection Regulation (GDPR) sets out key principles for handling personal data and protecting individuals' rights.
Personal Data Breaches
Personal data breaches can occur through hacking, human error or unauthorised access, leading to serious legal and reputational consequences.
Understanding Sexual Harassment
Sexual harassment is unwanted behaviour of a sexual nature that violates a person’s dignity or creates an intimidating, hostile or offensive environment.
Understanding Facilitation Payments
Facilitation payments are small, unofficial payments made to speed up routine services, but they are considered bribes under anti-bribery and corruption laws.
Data Protection Impact Assessments
Data Protection Impact Assessments (DPIAs) are used to evaluate our data processing activities and mitigate risks to individuals.
Zero Trust Cybersecurity
The zero trust cybersecurity model ensures IT systems remain inaccessible by default, requiring strict verification before granting access.
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Contract Certainty
Contract certainty means that each party will know the exact details of a product at the time when it is being sold, without there being any misunderstandings at a later date It was developed in response to regulatory concerns about the 'deals now – details later' culture of the insurance industry.
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Non-Financial Misconduct
Non-financial misconduct is behaviour that is unrelated to regulated activities, including serious offences such as harassment, bullying, sexual discrimination and sexual misconduct The FCA has indicated it is prepared to consider non-financial misconduct when assessing fitness and propriety.
Bring Your Own Device Security
Bring Your Own Device (BYOD) policies offer convenience and flexibility but also introduce cybersecurity risks.
Device Hygiene
Device hygiene is the practice of keeping digital devices secure and free from cyber threats to protect company data and networks.
Malware
Malware is malicious software designed to harm or exploit computer systems, ranging from viruses and ransomware to spyware and botnets.
Ransomware
Ransomware is a type of malware that encrypts files and demands payment for their release, often causing severe financial and operational damage.
Smishing
Smishing is a targeted phishing scam that uses deceptive text messages to gain sensitive information.
Spear Phishing
Spear phishing targets specific individuals with convincing emails designed to deceive them.
Video Conferencing
Video conferencing is a vital business tool, but it also presents security and privacy risks if not used correctly.
Vishing
Vishing is a social engineering attack where cybercriminals use phone calls to trick individuals into revealing sensitive information.
Creating Strong Passwords
Strong password protection is essential to safeguarding company systems from cyber threats such as brute force attacks and password guessing.
Multi-factor Authentication
Multi-factor authentication (MFA) enhances security by requiring users to verify their identity through multiple authentication methods.
Reacting to Password Breaches
Password breaches can lead to unauthorised access, fraud and data theft, often resulting from weak passwords, phishing or insecure networks.
Information Classification
This training helps employees understand different levels of information classification, their restrictions and how to handle data securely.
Information Security on the Move
Handling company information securely, especially when working remotely or traveling, is essential to prevent data breaches and security risks.
Tailgating and Piggybacking
Cybersecurity is not just about digital protection but also involves securing physical access to critical systems.
Secure Web Browsing
Practicing safe web browsing helps to reduce security risks and protect sensitive information.
Supply Chain Cybersecurity
A company’s cybersecurity is only as strong as its weakest link and supply chain vulnerabilities can expose businesses to major breaches.
Transferring Information Securely
Securely transferring information is essential to protect sensitive data from breaches, legal risks and business disruptions.
Using Wi-Fi safely
Wi-Fi connectivity offers convenience but also exposes devices and data to security risks if not properly managed.
Advising Customers on Cybersecurity
Cybersecurity is everyone's responsibility, including guiding customers to protect themselves from online threats.
CEO Fraud
CEO fraud is a type of Business Email Compromise where cybercriminals impersonate executives to trick employees into making payments or sharing confidential information.
Guide to Secure Remote Working
Remote work provides flexibility but also introduces cybersecurity risks that can compromise company data and systems.
Think Before You Click
Clicking on malicious links or attachments is one of the most common ways cybercriminals infect IT systems with malware.
Neurodiversity Awareness
Misunderstanding neurodiversity can leave employees unsupported and limit workplace potential.
Bribery Offences and Penalties
Bribery is a serious offence that carries severe consequences for individuals and companies.
Corrupt Hiring Practices
Bribery risks in hiring arise when jobs or internships are offered in exchange for business favours or political influence.
Controllers and Processors
The differences between data controllers and data processors are crucial to understanding data protection obligations.
Special Category Data
In many workplaces, sensitive data, including special category data, is collected and requires extra care.
GDPR Principle 1
The first principle of the GDPR requires that personal data must be processed lawfully, fairly and transparently.
GDPR Principle 2
The second principle of the GDPR, purpose limitation, requires that personal data be collected for specified, explicit and legitimate purposes.
GDPR Principle 3
The third principle of the GDPR, data minimisation, requires that personal data collected must be adequate, relevant and limited to what is necessary.
GDPR Principle 4
The fourth principle of the GDPR, accuracy, requires that personal data must be correct, up to date and not misleading.
GDPR Principle 5
The fifth principle of the GDPR, storage limitation, requires that personal data be retained only for as long as necessary for its intended purpose.
GDPR Principle 6
The sixth principle of the GDPR, integrity and confidentiality, requires that personal data be protected against unauthorised access, loss or damage.
GDPR Principle 7
The seventh principle of the GDPR, accountability, requires organisations to take responsibility for compliance and demonstrate good governance in data protection.
GDPR and Consent
Consent is one of the six lawful bases for processing personal data under the GDPR, requiring individuals to give clear, informed and voluntary agreement.
GDPR Lawful Bases for Processing
The General Data Protection Regulation (GDPR) requires organisations to have a lawful basis for processing personal data, chosen from six legal grounds.
GDPR Legitimate Interests
Legitimate interests is a flexible lawful basis for processing personal data, but it requires balancing business needs with individuals' rights.
GDPR International Transfers
The international transfer of personal data is restricted to ensure individuals' privacy rights are protected when data is sent abroad.
GDPR Individual Rights
The General Data Protection Regulation (GDPR) grants individuals eight specific rights over their personal data, ensuring transparency and control.
GDPR Subject Access Requests
Individuals have the right to access their personal data and organisations must respond to subject access requests (SARs) within legal timeframes.
Anti-Competitive Agreements
Competition laws ensure fair business practices by preventing anti-competitive agreements that restrict market competition.
Cartels
Competition in a free market encourages businesses to innovate, improve quality and reduce prices for consumers.
Trade Association Red Flags
Trade association meetings serve legitimate purposes but can pose competition risks if sensitive business information is exchanged.
Vertical Agreements
Vertical agreements between manufacturers, wholesalers and retailers can restrict competition and harm consumers.
Online Selling Restrictions
Competition law ensures fair sales practices and prohibits restrictions that limit competition.
Resale Price Maintenance
Resale price maintenance involves manufacturers controlling how retailers price their products.
Tying and Bundling
Tying and bundling involve selling a product or service with another commitment or package.
Dawn Raids
A dawn raid is an unannounced investigation by a regulator or law enforcement agency, often related to suspected financial crimes or anti-competitive practices.
Abuse of Dominant Position
Companies with significant market power must compete fairly without distorting competition.
Risks in the Use of AI
This training highlights how AI can be used effectively while identifying and addressing potential risks.
Direct Discrimination
Discrimination occurs when individuals are treated unfairly due to characteristics like sex, age, race or disability.
Indirect Discrimination
Indirect discrimination occurs when seemingly neutral policies disadvantage certain groups based on protected characteristics like age, sex, disability, race and religion.
The Protected Characteristics
The UK's Equality Act protects individuals from discrimination based on nine protected characteristics, ensuring a fair and inclusive workplace.
Victimisation
Victimisation occurs when someone is treated unfairly for making or supporting a complaint under the Equality Act.
Stereotyping
Stereotypes are generalised beliefs about individuals or groups that can lead to prejudice and bias.
Unconscious Bias
Unconscious bias occurs when we make judgments about people based on past experiences, cultural influences or assumptions.
Understanding ESG
Companies are increasingly expected to integrate environmental, social and governance principles into their operations to attract investors.
Identifying Who is Vulnerable
Vulnerable individuals are those who face heightened risks of harm, abuse, neglect or exploitation due to various circumstances.
Screening Employees in Safeguarding Roles
The Safeguarding Vulnerable Groups Act protects children and vulnerable adults from harm by preventing unsuitable individuals from working with them.
Terrorist Financing Red Flags
Terrorist groups use legal and illegal methods to raise and move funds, often exploiting financial systems to conceal their activities.
Understanding Terrorist Financing
Terrorist groups rely on financial support from various sources, both intentional and unintentional.
Customer Due Diligence
Bring "Customer Due Diligence" training to life using animation characters and storylines.
Enhanced Customer Due Diligence
Bring "Enhanced Customer Due Diligence" training to life using animation characters and storylines.
Politically Exposed Persons
Politically exposed persons present a high risk of money laundering due to their influence and access to state resources.
Suspicious Activity Reporting
Employees must report any knowledge or suspicion of money laundering or terrorist financing to the Money Laundering Reporting Officer.
Unexplained Wealth Orders
Unexplained wealth orders allow law enforcement to seize assets if their owners cannot justify their wealth as coming from a legitimate source.
Customer Fraud
Customer fraud poses serious risks to businesses, from chargeback fraud to false complaints.
Supplier Fraud
Supplier fraud occurs when vendors engage in deceptive practices, such as false invoicing, overpricing or bribery.
Authorised Push Payment Fraud
Authorised push payment fraud occurs when scammers impersonate trusted figures to trick individuals into transferring money.
False Representation
Fraud by false representation happens when someone deliberately provides misleading or untrue information for personal or financial gain.
Economic Crime and Corporate Transparency Act 2023
The Economic Crime and Corporate Transparency Act 2023 expands corporate liability for fraud and financial crimes.
Employee Fraud and Insider Threats
Employee fraud can take many forms, from theft and false expense claims to data misuse and conflicts of interest.
Fraud Offences and Penalties
Fraud is any dishonest action or omission intended to gain or cause a loss, regardless of whether it is temporary or permanent.
Mandatory Leave
Mandatory leave is time off that certain organisations enforce to help prevent fraud, errors and other risk incidents.
Preventing Corporate Fraud
Corporate fraud involves illegal activities committed by an organisation or individuals acting on its behalf.
The Fraud Triangle
Fraud is often committed by ordinary people who find themselves in difficult situations and make poor choices.
10 Essential Office Hygiene Practices
Hygiene is a key factor in maintaining a clean, safe and healthy workplace.
10 Steps to Healthy Working
A fast-paced work environment can take a toll on physical and mental health if risks are not managed.
COSHH
Exposure to hazardous substances in the workplace can cause serious health conditions, including respiratory diseases and skin disorders.
Electricity
Electricity is essential in the workplace, but even minor mistakes can cause serious injuries, fires or fatalities.
Fire
Fires pose a serious threat in any workplace, making fire prevention and safety measures essential.
Noise
Prolonged or excessive noise can cause stress, hearing damage and other health risks.
Personal Protective Equipment
Personal protective equipment is essential in minimising exposure to workplace hazards but should be the last line of defence.
Transport
Work-related driving poses significant risks, contributing to a large percentage of road accidents.
Work Equipment
Work equipment includes tools, machines and other devices used to perform tasks safely and efficiently.
Working Safely
Workplace accidents occur frequently, but many are preventable through awareness and proper safety measures.
Menopause Awareness
Menopause is a natural stage in life that can bring physical and emotional challenges and potentially affect work performance.
Mental Health at Work
Stress, anxiety and depression are major workplace health risks, accounting for over half of work-related ill-health cases.
New and Expectant Mothers at Work
When an employee is pregnant or returning from maternity leave, certain legal rights and health considerations apply.
Understanding Intellectual Property
Intellectual property rights are exclusive rights that protect creators and inventors, allowing them to benefit commercially from their work.
Don't Deal with Inside Information
Insider dealing occurs when someone uses non-public, price-sensitive information to gain an unfair advantage in financial markets.
Understanding Inside Information
Inside information is precise, non-public information about a financial instrument or issuer that could significantly impact market prices if disclosed.
Understanding Insider Trading
Inside information can significantly impact financial markets and must be handled with strict confidentiality.
Understanding Market Abuse
Market abuse distorts financial markets and disadvantages investors.
Persons Discharging Managerial Responsibilities
Persons discharging managerial responsibilities are senior individuals in publicly traded organisations who have access to inside information.
Unlawful Disclosure of Inside Information
Inside information is precise, non-public information about a financial instrument or issuer that could impact market prices if disclosed.
The Three Characteristics of Harassment
Harassment in the workplace occurs when unwanted behaviour violates a person's dignity or creates an intimidating or offensive environment.
Minimum Disclosure Rules
The Common Reporting Standard was introduced to prevent offshore tax evasion, but authorities continue to find ways in which it is being circumvented.
Unwanted Behaviour of a Sexual Nature
Sexual harassment is unwanted behaviour of a sexual nature that can create an intimidating, degrading or hostile work environment.
The 4D Bystander Intervention Model
Creating a safe and respectful workplace requires everyone to take action when witnessing bullying harassment or inappropriate behaviour.
Understanding Tax Evasion
Tax evasion is the illegal act of dishonestly reducing tax liability, while tax avoidance involves exploiting legal loopholes.
Protecting Intellectual Property Rights
Intellectual property (IP) includes original creations such as artistic works, inventions, trademarks and trade secrets that can be owned, licensed or sold.
MCOB - Advertising and Selling Compliance Training Course
The Mortgage Conduct of Business (MCOB) Advising and Selling standards apply to businesses that advise on or arrange mortgage contracts, equity release transactions, home purchase plans or sale and rent back agreements.
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Failure to Prevent Fraud (FTPF): Types of Fraud
Understand the various types of fraud that could lead to the Failure to Prevent Fraud offence and how to help prevent them in my role.
Failure to Prevent Fraud (FTPF): Offence
Understand the legal implications of the Failure to Prevent Fraud offence and how to ensure compliance in my role.
Failure to Prevent Fraud (FTPF): Scope
Understand the scope of the Failure to Prevent Fraud offence and its implications for different types of companies.
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Understanding Failure to Prevent Fraud (FTPF) in Financial Services
Failure to Prevent Fraud (FTPF) is a corporate offence that holds organisations criminally liable if they do not have reasonable measures in place to stop fraud committed by someone acting on their behalf.
Failure to Prevent Fraud (FTPF): Prevention
Understand the six principles of fraud prevention to design and support effective anti-fraud controls.
AML and CTF for Charities
Charities can inadvertently become vehicles for money laundering and terrorist financing, threatening their integrity and compliance.
Anti-Bribery for Charities
Bribery in the charity sector can take subtle and complex forms, from cash payments to promises of preferential treatment.
Charity Purposes and Rules
Charities in the UK must operate within their defined purposes as set out in their governing documents, ensuring all activities align with these objectives.
Communicating with the Charity Commission
Effective communication with the Charity Commission is essential for compliance, transparency and maintaining public trust.
Data Protection for Charities
Handling personal data is a critical responsibility for charities, governed by data protection laws and essential for maintaining trust.
Gifts and Hospitality for Charities
Gifts and hospitality can pose a risk of actual or perceived bribery in the charity sector.
Making Decisions at a Charity
Charity decision-making must be guided by principles that ensure actions are within the charity's powers, aligned with its purpose and in its best interests.
Managing Charity Finances
Managing charity finances requires spending responsibly, transparently and strictly for the charity's purpose.
Managing Conflicts of Interest in a Charity
Conflicts of interest, whether actual or perceived, can harm a charity's decision-making and credibility.
Political Activity and Campaigning by Charities
Charities in the UK can engage in political activity to support their purpose, provided it remains secondary to their charitable work and complies with legal and ethical guidelines.
Safeguarding for Charities and Trustees
Safeguarding involves protecting people from harm, abuse and neglect.
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Conduct Rule 1: Act with Integrity
Integrity is a fundamental principle in financial services, ensuring ethical conduct and maintaining customer trust.
Conduct Rule 2: Act with due skill, care and diligence
People working in financial services must act with due skill, care and diligence, ensuring their actions do not harm customers or the financial system.
Conduct Rule 3: Be open and cooperative with the FCA, the PRA and other regulators
Financial services firms and employees must be open and cooperative with regulators, including the Financial Conduct Authority and the Prudential Regulation Authority.
Conduct Rule 4: Pay due regard to the interests of customers and treat them fairly
Financial services professionals must always act in the best interests of customers and ensure they are treated fairly.
Conduct Rule 5: Observe proper standards of market conduct
Financial markets rely on trust, integrity and adherence to established rules and ethical behaviour.
Conduct Rule 6: Act to deliver good outcomes for retail customers
Financial services professionals must act in good faith, prevent foreseeable harm and support customers in achieving their financial objectives.
Principles for Businesses
The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.
Training and Competence
Educate your employees on the FCA's rules for training and competence of staff in the financial services business.
Introduction to UK Financial Regulation
Educate your employees on how the UK's financial services industry is regulated.
Conduct Risk
The FCA focuses on good customer outcomes and how a firm achieves this through staff conduct at all levels of the business.
CASS 9 - Information to Clients
Under the requirements of CASS 9, you are required to pass on certain information to clients, particularly where prime brokers, custody assets and client money are concerned.
Overview of the Consumer Duty
Learn about the FCA's Principle 12 and the rules that flow from it, and see how you can apply Consumer Duty in your day-to-day work.
Good Outcomes for Vulnerable Customers
Companies have a legal obligation to ensure that vulnerable individuals do not suffer any detriment and are given the appropriate level of care.
Third-Party Harassment
Third‑party harassment is unwanted behaviour by someone who is not an employee, such as a customer, supplier, contractor or visitor.
CASS 15 - Payment Services and Electronic Money: Relevant Funds
CASS 15 introduces a strengthened safeguarding regime for payment services and electronic money firms, designed to better protect customer funds in the event of firm failure.
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