Insurance Act 2015

SM&CR in Practice

The Senior Managers and Certification Regime (SM&CR) is designed to improve accountability, governance and culture in financial services firms.

In-depth 75 Minutes SMCR FCA Handbook For managers

CeMAP Competency Refresher Training

The Certificate in Mortgage Advice & Practice (CeMAP) is a UK specific qualification issued by the London Institute of Banking & Finance (LIBF).

In-depth 65 Minutes FCA Handbook For all staff

Conduct Rules for Senior Managers at FCA Solo Firms

Under the Senior Managers Regime, all senior managers must comply with the FCA's six Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).

In-depth 60 Minutes SMCR FCA Handbook For managers

FX Global Code Compliance Training Course

The FX Global Code is a set of global principles of good practice in the foreign exchange market.

In-depth 60 Minutes FCA Handbook For all staff

Responsible Lending and Affordability Training Course

Responsible Lending and Affordability are non-negotiable principles that underpin the UK's mortgage market reform.

In-depth 60 Minutes FCA Handbook For all staff

UK Money Markets Code Online Training Course

The UK Money Markets Code provides a set of principles to promote the integrity and effective functioning of the UK money markets.

In-depth 60 Minutes FCA Handbook For all staff

Operational Resilience

The FCA has made operational resilience a requirement for banks, building societies, PRA-designated investment firms, enhanced scope firms and other financial institutions.

In-depth 55 Minutes FCA Handbook For all staff

CASS 7 and 7A Client Money Rules and Client Money Distribution Training Course

The rules and guidance in CASS aim to achieve the FCA's objective of ensuring that consumers are adequately protected.

In-depth 50 Minutes FCA Handbook For all staff

Conduct Risk

The FCA focuses on good customer outcomes and how a firm achieves this through staff conduct at all levels of the business.

In-depth 50 Minutes Risk Management FCA Handbook For all staff

Data Protection Compliance Training Course

Data protection relates to how all organisations collect, use, and store personal and sensitive data.

In-depth 45 Minutes Data Protection (GDPR) For all staff

Market Abuse Compliance E-Learning Course

The laws and regulations prohibiting market abuse apply to all employees, not only those engaged in front-office, client dealing or trading roles.

In-depth 45 Minutes For all staff

Working Safely Compliance Training Course

Awareness of health and safety procedures can prevent injuries and save lives.

In-depth 45 Minutes Health & Safety For all staff

Financial Sanctions Compliance E-Learning Course

Financial and economic sanctions are binding prohibitions applied by governments to prevent business transactions with certain designated persons.

In-depth 45 Minutes Financial Crime For all staff

Healthy Working

There are risks to your physical and mental health and wellbeing wherever you work.

In-depth 45 Minutes Health & Safety For all staff

Embargoes and Sanctions

Embargoes and sanctions prohibit all transactions with an entity, trading of certain commodities, or supplying critical goods.

In-depth 45 Minutes Financial Crime For all staff

Safeguarding the Vulnerable

Certain individuals may be unable to care for or protect themselves due to a mental illness or disability, age or other factors.

In-depth 45 Minutes ESG For all staff

Introduction to UK Financial Regulation

NEDs are an important part of a firm's governance and provide independence and oversight.

In-depth 45 Minutes FCA Handbook For all staff

Complaints Handling E-learning for the Insurance Sector

The number of complaints submitted in the Insurance sector has increased year on year in recent times in the UK.

In-depth 45 Minutes For all staff

Insurance Distribution Directive (IDD)

The Insurance Distribution Directive (IDD) replaced the Insurance Mediation Directive (IMD) in February 2018.

In-depth 45 Minutes For all staff

Treating Customers Fairly

Treating Customers Fairly (TCF) applies to firms in the Insurance industry.

In-depth 45 Minutes For all staff

Information Barriers

The flow of information in financial firms needs monitoring between businesses involved with private and public side activities.

In-depth 45 Minutes Financial Crime FCA Handbook For all staff

Benchmarks Regulation Training Course

The FCA defines a Benchmark as an index used to determine the value of or the amount payable under a financial instrument (or contract).

In-depth 45 Minutes FCA Handbook For all staff

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.

In-depth 45 Minutes FCA Handbook For all staff

Prudential Regulation Training Course for Financial Services Staff

Prudential Regulation applies to firms in financial services.

In-depth 45 Minutes FCA Handbook For all staff

Introduction to UK Financial Regulation

Educate your employees on how the UK's financial services industry is regulated.

In-depth 45 Minutes For all staff

Financial Crime Prevention E-Learning Course for Staff

There are two kinds of financial crime.

In-depth 40 Minutes Financial Crime For all staff

Preventing Sexual Harassment for Managers

The new duty to prevent sexual harassment in the UK will be enforceable by employment tribunals, allowing for increased compensation for victims by up to 25% if an employer fails in their duty.

In-depth 40 Minutes Preventing Harassment Employment Rights Act For managers

Complaints Handling FCA Compliance

The FCA has identified that the number of complaints submitted in the financial services sector has increased year on year in recent times in the UK.

In-depth 40 Minutes FCA Handbook For all staff

Treating Customers Fairly FCA Compliance

Treating Customers Fairly (TCF) applies to firms in the financial services industry.

In-depth 40 Minutes FCA Handbook For all staff

First Aid Awareness

Regardless of whether an injury or illness has been caused by work, it is important that employees receive immediate support.

In-depth 40 Minutes Health & Safety For all staff

MCOB - General Standards

The Mortgage Conduct of Business (MCOB) for General Standards applies to all firms that deal with home finance.

In-depth 40 Minutes Financial Crime FCA Handbook For all staff

Ethical Standards in Finance and Investment

The FCA's ethical standards apply to individuals in finance and investment.

In-depth 40 Minutes Financial Crime FCA Handbook For all staff

CONC - Consumer Credit Regulations

The FCA's Consumer Credit sourcebook (CONC) applies to all firms engaged in credit-related regulatory activities in the UK.

In-depth 40 Minutes FCA Handbook For all staff

Markets in Financial Instruments Directive II (MiFID II)

The Markets in Financial Instruments Directive (MiFID) originally aimed to increase competition and integration in markets for financial instruments.

In-depth 40 Minutes Financial Crime FCA Handbook For all staff

Complaints Handling for the Mortgage Market Course

The FCA outlines complaints handling rules in the Dispute Resolution Sourcebook (DISP).

In-depth 40 Minutes FCA Handbook For all staff

MCOB - Equity Release

The Mortgage Conduct of Business (MCOB) for Equity Release applies to businesses that make recommendations or provide personalised information to customers on equity release products.

In-depth 40 Minutes FCA Handbook For all staff

Pensions Ombudsman Complaints Handling

In the UK, the Pensions Ombudsman handles pension complaints and disputes at no cost to members of occupational and personal pension schemes.

In-depth 40 Minutes FCA Handbook For all staff

Information Security Compliance Training Course

The security of client and internal information is critical for businesses.

In-depth 35 Minutes For all staff

Fraud Prevention E-learning Course

Fraud can have grave consequences for companies, employees, and customers.

In-depth 35 Minutes Fraud Prevention For all staff

CASS Overview

The FCA's Client Assets Sourcebook (CASS) supports Principle 10 of the FCA's Principles for Businesses.

In-depth 35 Minutes FCA Handbook For all staff

Conflicts of Interest in Insurance

A conflict of interest is where competing interests interfere with the exercising of judgement in a relationship.

In-depth 35 Minutes For all staff

Whistleblowing for Managers (FS)

Whistleblowing refers to disclosing corrupt, illegal or fraudulent activities committed by organisations.

In-depth 35 Minutes Financial Crime FCA Handbook For managers

Claims Handling - General Insurance

Speed and accuracy of claims handling is a major aspect of service differentiation in this industry.

In-depth 35 Minutes For all staff

Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation for Insurance Firms

The Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation has applied since 1 January 2018.

In-depth 35 Minutes For all staff

Prudential Regulation for Insurance Firms

Educate your employees on the Prudential Standards for financial businesses in the UK.

In-depth 35 Minutes For all staff

Directive on Administrative Cooperation in the Field of Taxation (DAC6)

The EU Directive on Administrative Cooperation in the Field of Taxation (DAC6) covers cross-border arrangements.

In-depth 35 Minutes For all staff

CASS Overview for Insurance

The FCA's Client Assets Sourcebook (CASS) supports Principle 10 of the FCA's Principles for Businesses.

In-depth 35 Minutes For all staff

Preventing Sexual Harassment Training Course

Companies rightly have a zero-tolerance policy for sexual harassment, and violations may lead not only to disciplinary action but also to perpetrator prosecution.

In-depth 30 Minutes Preventing Harassment Employment Rights Act For all staff

Anti-Money Laundering and Counter-Terrorist Financing E-learning Course

To prevent criminal activity, nearly all countries in the world have committed themselves to extremely tough laws against money laundering and terrorist financing.

In-depth 30 Minutes Financial Crime For all staff

Modern Slavery Compliance Training Course

Modern slavery is a serious crime with harsh penalties.

In-depth 30 Minutes ESG For all staff

Preventing the Facilitation of Tax Evasion

Tax laws don't only apply to those who calculate or manage taxes.

In-depth 30 Minutes For all staff

Bribery Prevention Compliance E-learning Course

Despite a worldwide effort to eradicate bribery, it is still prevalent in many countries and presents a real risk for businesses.

In-depth 30 Minutes Bribery Prevention For all staff

Good Outcomes for Vulnerable Customers

Companies have a legal obligation to identify the signs of vulnerability and ensure that vulnerable individuals are treated fairly.

In-depth 30 Minutes FCA Handbook For all staff

Overview of the Consumer Duty

The FCA's Consumer Duty is a new standard which addresses the conduct of firms.

In-depth 30 Minutes FCA Handbook For all staff

Conflicts of Interest in Asset Management

The FCA outlines its expectations that asset management firms establish and maintain an effective framework to identify, control and review conflicts of interest.

In-depth 30 Minutes FCA Handbook For all staff

Training and Competence

Training and Competence (T&C) forms an important part of UK regulations under the FCA.

In-depth 30 Minutes Financial Crime FCA Handbook For all staff

MCOB - APRC, Shortfalls and Charges

The Mortgage Conduct of Business (MCOB) for the Annual Percentage Rate of Charge (APRC), shortfalls, and charges apply to home finance businesses.

In-depth 30 Minutes Financial Crime FCA Handbook For all staff

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.

In-depth 30 Minutes For all staff

Conduct Rules for Non-Executive Directors (NEDs)

NEDs are an important part of a firm's governance and provide independence and oversight.

In-depth 30 Minutes SMCR FCA Handbook For managers

An Introduction to Solvency UK

Solvency II introduced a new, harmonised EU-wide insurance regulatory regime.

In-depth 30 Minutes For all staff

CASS 6 - Custody Rules

The rules and guidance in CASS 6 apply to a firm when it is safeguarding and administering custody assets.

In-depth 30 Minutes FCA Handbook For all staff

CASS 8 - Mandates

Under the requirements of CASS 8, you must understand what a mandate is and how to deal with them.

In-depth 30 Minutes FCA Handbook For all staff

Fire Warden Training

Gain a comprehensive understanding of your role as a fire warden, which encompasses not only how to respond effectively in the event of a fire but also proactive measures to prevent such incidents from occurring.

In-depth 30 Minutes Health & Safety For all staff

MCOB - Disclosures

The Mortgage Conduct of Business (MCOB) for Disclosures applies to businesses involved in home finance transactions.

In-depth 30 Minutes FCA Handbook For all staff

MCOB - Financial Promotions

The Mortgage Conduct of Business (MCOB) for Financial Promotions applies to financial promotions in the home finance business.

In-depth 30 Minutes FCA Handbook For all staff

Mortgage Credit Directive

The EU Mortgage Credit Directive (MCD) applies to all businesses dealing with first-charge, second-charge, and buy-to-let mortgages.

In-depth 30 Minutes FCA Handbook For all staff

Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation

The Packaged Retail and Insurance-based Investment Product (PRIIP) Regulation affects retail investors who need to understand the complexities of these products.

In-depth 30 Minutes FCA Handbook For all staff

AI Literacy at Work

Companies are committed to ensuring the ethical and responsible use of AI technologies.

In-depth 35 Minutes Cybersecurity For all staff

Sustainability Disclosure Requirements (SDR) and Investment Labels

The introduction of sustainability rules aims to enhance the transparency and credibility of financial products with sustainability objectives.

In-depth 30 Minutes FCA Handbook For all staff

UCITS

Undertakings for the Collective Investment in Transferable Securities (UCITS) Directive aims to offer asset managers and investors greater business opportunities.

In-depth 30 Minutes FCA Handbook For all staff

Understanding Failure to Prevent Fraud (FTPF)

Learn how the Failure to Prevent Fraud offence works, what it means for our Company, and how you can help reduce risk by recognising fraud and supporting prevention procedures.

In-depth 30 Minutes Fraud Prevention Failure to Prevent Fraud For all staff

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.

In-depth 30 Minutes Fraud Prevention Failure to Prevent Fraud FCA Handbook For all staff

Training and Competence

Educate your employees on the FCA's rules for training and competence of staff in the financial services business.

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.

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.

In-depth 30 Minutes FCA Handbook For all staff

Digital Operational Resilience Act (DORA)

The Digital Operational Resilience Act (DORA) is a regulatory framework set by the European Union to enhance the cybersecurity and operational resilience of financial institutions.

In-depth 25 Minutes For all staff

Meeting the Conduct Rules in Dual Regulated Firms

The Conduct Rules are a fundamental aspect of the SMCR.

In-depth 25 Minutes SMCR FCA Handbook For all staff

Personal Conflicts of Interest

The FCA states that a firm must manage conflicts of interest between itself and its customers or other clients.

In-depth 25 Minutes FCA Handbook For all staff

BCOBS - General Standards

The FCA Banking Conduct of Business Sourcebook (BCOBS) applies to all firms that accept deposits from banking customers in the UK.

In-depth 25 Minutes Financial Crime FCA Handbook For all staff

Payment Services Regulations

The Payment Services Regulations (PSRs) 2017 was introduced in 2018 and set the Payment Services Directive 2 (PSD2) in motion.

In-depth 25 Minutes Financial Crime FCA Handbook For all staff

Senior Management Arrangements Systems and Controls

The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms.

In-depth 25 Minutes Financial Crime FCA Handbook For managers

ICOBS - Providing Information and Advising

The Insurance Conduct of Business Sourcebook (ICOBS) for Providing Information and Advising applies to insurance intermediaries.

In-depth 25 Minutes For all staff

General Insurance Pricing Practices

The General Insurance Pricing Practices signal a new chapter in the FCA's focus on fairly-priced insurance products which provide real value to customers.

In-depth 25 Minutes For all staff

CASS 5 - Client Money - Insurance Distribution Activity

CASS rules apply to money belonging to all clients.

In-depth 25 Minutes For all staff

AIFM Regulations

The Alternative Investment Fund Managers Directive (AIFMD) was developed by the EU in order to create a harmonised framework of rules for regulating AIFMs.

In-depth 25 Minutes FCA Handbook For all staff

Asbestos

Educate your staff on the risks posed by asbestos, the controls your Company has in place, and what you should do to manage these risks and stay safe.

In-depth 25 Minutes Health & Safety For all staff

Breathing Space Regulations

Breathing Space Regulations apply to creditors whose debtors are eligible for additional time to repay their debt.

In-depth 25 Minutes FCA Handbook For all staff

CASS 10 - CASS Resolution Pack

A CASS Resolution Pack (RP) contains a specific set of documents that helps speed up client money and assets return if a firm fails.

In-depth 25 Minutes FCA Handbook For all staff

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.

In-depth 25 Minutes FCA Handbook For all staff

Lone Working

Lone working offers greater flexibility, autonomy and creates a broader talent pool for businesses.

In-depth 25 Minutes Health & Safety For all staff

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs)

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs) exist as part of the US response to the financial crisis.

In-depth 25 Minutes FCA Handbook For all staff

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.

Equality and Diversity E-learning Course

Making employment decisions or treating people differently based on stereotypes isn't just bad for business; it's illegal.

In-depth 20 Minutes DEI For all staff

Fire Safety Compliance E-Learning Course

Educate your staff on the fire safety controls your Company has in place and the measures they need to take to reduce the risk of fire where you work.

In-depth 20 Minutes Health & Safety For all staff

ICOBS - General Matters

The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business.

In-depth 20 Minutes For all staff

Records Management

Records management refers to employees' creation, storage, archiving, and disposal of business records.

In-depth 20 Minutes For all staff

General Office Hygiene

Educate your staff on general office hygiene protocols to reduce common viruses and infections from spreading at the workplace.

In-depth 20 Minutes Health & Safety For all staff

Principles for Businesses

The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.

In-depth 20 Minutes FCA Handbook For all staff

COBS - Client Communications and Financial Promotions

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.

In-depth 20 Minutes FCA Handbook For all staff

Whistleblowing in Insurance

Our Whistleblowing Training Course educates employees on reporting misconduct safely and ensures protection.

In-depth 20 Minutes For all staff

COBS - Client Categorisation

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.

In-depth 20 Minutes Financial Crime FCA Handbook For all staff

COBS - Dealing and Managing

The FCA Conduct of Business Sourcebook (COBS) applies to financial firms in the UK.

In-depth 20 Minutes Financial Crime FCA Handbook For all staff

FSCS Deposit Protection

The Financial Services Compensation Scheme (FSCS) safeguards customers' finances.

In-depth 20 Minutes Financial Crime FCA Handbook For all staff

Appointed Representatives Regulatory Responsibilities for Insurance Firms

The FCA expects companies to ensure all their appointed representatives know the provisions within the FCA handbook.

In-depth 20 Minutes For all staff

COBS - Appropriateness

The FCA's Conduct of Business Sourcebook (COBS) applies to financial firms that deal with customer investments on an execution-only basis.

In-depth 20 Minutes FCA Handbook For all staff

COBS - Client Communications High Risk Investments

The Conduct of Business Sourcebook (COBS) rules that relate to client communication apply to all promotional communications that investment firms have with their clients and prospects.

In-depth 20 Minutes FCA Handbook For all staff

COBS - Suitability

The FCA Conduct of Business Sourcebook (COBS) applies to finance and investment firms in the UK.

In-depth 20 Minutes FCA Handbook For all staff

ICOBS - Cancellation and Claims

The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses.

In-depth 20 Minutes For all staff

ICOBS - Distance Communications

The Insurance Conduct of Business Sourcebook (ICOBS) for distance communications applies to all insurance firms that engage in distance marketing activity in the UK.

In-depth 20 Minutes For all staff

ICOBS - Providing Information and Advising

The Insurance Conduct of Business Sourcebook (ICOBS) for Providing Information and Advising applies to insurance intermediaries.

In-depth 20 Minutes FCA Handbook For all staff

Principles for Businesses

The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.

In-depth 20 Minutes For all staff

Mental Health at Work

Stress, anxiety and depression are serious health hazards in the workplace.

In-depth 15 Minutes Health & Safety For all staff

Whistleblowing in Financial Services

Our Whistleblowing training course educates employees on reporting misconduct safely and ensures protection.

In-depth 15 Minutes FCA Handbook For all staff

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.

Express 15 Minutes SMCR FCA Handbook For all staff

BCOBS - Distance Communications

The Banking Conduct of Business Sourcebook (BCOBS) applies to all firms accepting deposits from banking customers in the UK.

In-depth 15 Minutes FCA Handbook For all staff

ICOBS - Cancellation and Claims

The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses.

In-depth 15 Minutes FCA Handbook For all staff

ICOBS - Distance Communications

The Insurance Conduct of Business Sourcebook (ICOBS) for distance communications applies to all insurance firms that engage in distance marketing activity in the UK.

In-depth 15 Minutes FCA Handbook For all staff

ICOBS - General Matters

The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business.

In-depth 15 Minutes FCA Handbook For all staff

Understanding Modern Slavery

Modern slavery remains a persistent, inhumane practice affecting millions through forced labour, trafficking and exploitation.

Microlearning 5 Minutes ESG For all staff

Understanding Bribery

Bribery is not always obvious and can take many subtle forms, from lavish gifts to preferential treatment.

Microlearning 5 Minutes Bribery Prevention For all staff

Gifts and Hospitality

Gifts and hospitality can create a risk of actual or perceived bribery if not handled correctly.

Microlearning 5 Minutes Bribery Prevention For all staff

Spot a Phishing Attempt

Phishing emails are fraudulent attempts by cybercriminals to trick individuals into revealing sensitive information.

Microlearning 5 Minutes Cybersecurity For all staff

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.

Microlearning 5 Minutes Fraud Prevention For all staff

Whistleblowing

Whistleblowing is the act of reporting wrongdoing such as fraud, bribery or safety breaches to protect an organisation and its stakeholders.

Microlearning 5 Minutes Employment Rights Act For all staff

Understanding Sanctions

Sanctions restrict business dealings with specific individuals organisations or countries to support global peace, human rights and crime prevention.

Microlearning 5 Minutes Financial Crime For all staff

Money Laundering Red Flags

Detecting and reporting money laundering red flags is essential for maintaining anti-money laundering (AML) compliance.

Microlearning 5 Minutes Financial Crime For all staff

Business Email Compromise

Business Email Compromise (BEC) is a targeted cyberattack where criminals impersonate executives or hack accounts to steal money or sensitive information.

Microlearning 5 Minutes Cybersecurity For all staff

Speak Up

Speaking up against misconduct or unethical behaviour can be challenging, but it is essential to maintaining integrity in the workplace.

Microlearning 5 Minutes Employment Rights Act For all staff

Understanding Fraud

Fraud is a deliberate act of deception aimed at obtaining an unfair advantage, often causing harm to individuals or organisations.

Microlearning 5 Minutes Fraud Prevention For all staff

Display Screen Equipment

Correctly setting up display screen equipment (DSE) is crucial for maintaining comfort and preventing strain or injury.

Microlearning 5 Minutes Health & Safety For all staff

Identity Fraud

Identity fraud occurs when criminals steal personal information to commit fraud, often leading to financial loss and reputational damage.

Microlearning 5 Minutes Fraud Prevention For all staff

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.

Microlearning 5 Minutes Health & Safety For all staff

Manual Handling

Manual handling tasks, such as lifting, carrying, pushing or pulling objects, can lead to injuries if not done correctly.

Microlearning 5 Minutes Health & Safety For all staff

Understanding Conflicts of Interest

A conflict of interest is where competing interests interfere with the exercising of judgement in a relationship.

Microlearning 5 Minutes ESG For all staff

Foreign Agent Bribery Risk

Using third-party agents can expose businesses to bribery risks if due diligence is ignored.

Microlearning 5 Minutes Bribery Prevention For all staff

Compliments vs Sexual Harassment

Genuine compliments can be part of a positive workplace, but inappropriate remarks can cross the line into sexual harassment.

Microlearning 5 Minutes Preventing Harassment Employment Rights Act For all staff

Failing to Disclose Information

Fraud can occur when someone deliberately withholds information to gain an unfair advantage or cause loss to others.

Microlearning 5 Minutes Fraud Prevention For all staff

Targets of Sexual Harassment

Sexual harassment can occur in various forms and affects everyone in the workplace.

Microlearning 5 Minutes Preventing Harassment Employment Rights Act For all staff

Crossing the Line into Sexual Harassment

Sexual harassment is not limited to physical actions but can also involve words, gestures and persistent unwanted attention.

Microlearning 5 Minutes Preventing Harassment Employment Rights Act For all staff

Understanding Harassment

Harassment is unwanted conduct that violates a person’s dignity or creates an intimidating or offensive environment.

Microlearning 5 Minutes Preventing Harassment Employment Rights Act For all staff

Forced Labour Indicators

Forced labour is a serious violation of human rights, often hidden within workplaces and supply chains.

Microlearning 5 Minutes ESG For all staff

Interacting on Social Media

Social media offers great opportunities for communication, but it also presents risks to data protection, security and reputation.

Microlearning 5 Minutes ESG For all staff

Deepfake Awareness

Deepfakes use artificial intelligence to create fake images, audio or videos that can deceive individuals and organisations.

Microlearning 5 Minutes Cybersecurity For all staff

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.

Microlearning 5 Minutes Cybersecurity For all staff

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.

Microlearning 5 Minutes Financial Crime For all staff

Common Cyber Threats

Cyber threats such as phishing, malware, ransomware and unsecured networks pose significant risks to businesses.

Microlearning 5 Minutes Cybersecurity For all staff

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.

Microlearning 5 Minutes Financial Crime For all staff

Understanding the GDPR

The General Data Protection Regulation (GDPR) sets out key principles for handling personal data and protecting individuals' rights.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

Personal Data Breaches

Personal data breaches can occur through hacking, human error or unauthorised access, leading to serious legal and reputational consequences.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

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.

Microlearning 5 Minutes Preventing Harassment Employment Rights Act For all staff

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.

Microlearning 5 Minutes Bribery Prevention For all staff

Data Protection Impact Assessments

Data Protection Impact Assessments (DPIAs) are used to evaluate our data processing activities and mitigate risks to individuals.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

Zero Trust Cybersecurity

The zero trust cybersecurity model ensures IT systems remain inaccessible by default, requiring strict verification before granting access.

Microlearning 5 Minutes Cybersecurity For all staff

Bring Your Own Device Security

Bring Your Own Device (BYOD) policies offer convenience and flexibility but also introduce cybersecurity risks.

Microlearning 5 Minutes Cybersecurity For all staff

Device Hygiene

Device hygiene is the practice of keeping digital devices secure and free from cyber threats to protect company data and networks.

Microlearning 5 Minutes Cybersecurity For all staff

Malware

Malware is malicious software designed to harm or exploit computer systems, ranging from viruses and ransomware to spyware and botnets.

Microlearning 5 Minutes Cybersecurity For all staff

Ransomware

Ransomware is a type of malware that encrypts files and demands payment for their release, often causing severe financial and operational damage.

Microlearning 5 Minutes Cybersecurity For all staff

Smishing

Smishing is a targeted phishing scam that uses deceptive text messages to gain sensitive information.

Microlearning 5 Minutes Cybersecurity For all staff

Spear Phishing

Spear phishing targets specific individuals with convincing emails designed to deceive them.

Microlearning 5 Minutes Cybersecurity For all staff

Video Conferencing

Video conferencing is a vital business tool, but it also presents security and privacy risks if not used correctly.

Microlearning 5 Minutes Cybersecurity For all staff

Vishing

Vishing is a social engineering attack where cybercriminals use phone calls to trick individuals into revealing sensitive information.

Microlearning 5 Minutes Cybersecurity For all staff

Creating Strong Passwords

Strong password protection is essential to safeguarding company systems from cyber threats such as brute force attacks and password guessing.

Microlearning 5 Minutes Cybersecurity For all staff

Multi-factor Authentication

Multi-factor authentication (MFA) enhances security by requiring users to verify their identity through multiple authentication methods.

Microlearning 5 Minutes Cybersecurity For all staff

Reacting to Password Breaches

Password breaches can lead to unauthorised access, fraud and data theft, often resulting from weak passwords, phishing or insecure networks.

Microlearning 5 Minutes Cybersecurity For all staff

Information Classification

This training helps employees understand different levels of information classification, their restrictions and how to handle data securely.

Microlearning 5 Minutes Cybersecurity For all staff

Information Security on the Move

Handling company information securely, especially when working remotely or traveling, is essential to prevent data breaches and security risks.

Microlearning 5 Minutes Cybersecurity For all staff

Tailgating and Piggybacking

Cybersecurity is not just about digital protection but also involves securing physical access to critical systems.

Microlearning 5 Minutes Cybersecurity For all staff

Secure Web Browsing

Practicing safe web browsing helps to reduce security risks and protect sensitive information.

Microlearning 5 Minutes Cybersecurity For all staff

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.

Microlearning 5 Minutes Cybersecurity For all staff

Transferring Information Securely

Securely transferring information is essential to protect sensitive data from breaches, legal risks and business disruptions.

Microlearning 5 Minutes Cybersecurity For all staff

Using Wi-Fi safely

Wi-Fi connectivity offers convenience but also exposes devices and data to security risks if not properly managed.

Microlearning 5 Minutes Cybersecurity For all staff

Advising Customers on Cybersecurity

Cybersecurity is everyone's responsibility, including guiding customers to protect themselves from online threats.

Microlearning 5 Minutes Cybersecurity For all staff

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.

Microlearning 5 Minutes Cybersecurity For all staff

Guide to Secure Remote Working

Remote work provides flexibility but also introduces cybersecurity risks that can compromise company data and systems.

Microlearning 5 Minutes Cybersecurity For all staff

Think Before You Click

Clicking on malicious links or attachments is one of the most common ways cybercriminals infect IT systems with malware.

Microlearning 5 Minutes Cybersecurity For all staff

Neurodiversity Awareness

Misunderstanding neurodiversity can leave employees unsupported and limit workplace potential.

Microlearning 5 Minutes Health & Safety For all staff

Bribery Offences and Penalties

Bribery is a serious offence that carries severe consequences for individuals and companies.

Microlearning 5 Minutes Bribery Prevention For all staff

Corrupt Hiring Practices

Bribery risks in hiring arise when jobs or internships are offered in exchange for business favours or political influence.

Microlearning 5 Minutes Bribery Prevention For all staff

Controllers and Processors

The differences between data controllers and data processors are crucial to understanding data protection obligations.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

Special Category Data

In many workplaces, sensitive data, including special category data, is collected and requires extra care.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

GDPR Principle 1

The first principle of the GDPR requires that personal data must be processed lawfully, fairly and transparently.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

GDPR Principle 2

The second principle of the GDPR, purpose limitation, requires that personal data be collected for specified, explicit and legitimate purposes.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

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.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

GDPR Principle 4

The fourth principle of the GDPR, accuracy, requires that personal data must be correct, up to date and not misleading.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

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.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

GDPR Principle 6

The sixth principle of the GDPR, integrity and confidentiality, requires that personal data be protected against unauthorised access, loss or damage.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

GDPR Principle 7

The seventh principle of the GDPR, accountability, requires organisations to take responsibility for compliance and demonstrate good governance in data protection.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

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.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

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.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

GDPR Legitimate Interests

Legitimate interests is a flexible lawful basis for processing personal data, but it requires balancing business needs with individuals' rights.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

GDPR International Transfers

The international transfer of personal data is restricted to ensure individuals' privacy rights are protected when data is sent abroad.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

GDPR Individual Rights

The General Data Protection Regulation (GDPR) grants individuals eight specific rights over their personal data, ensuring transparency and control.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

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.

Microlearning 5 Minutes Data Protection (GDPR) For all staff

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.

Microlearning 5 Minutes Cybersecurity For all staff

Direct Discrimination

Discrimination occurs when individuals are treated unfairly due to characteristics like sex, age, race or disability.

Microlearning 5 Minutes For all staff

Indirect Discrimination

Indirect discrimination occurs when seemingly neutral policies disadvantage certain groups based on protected characteristics like age, sex, disability, race and religion.

Microlearning 5 Minutes For all staff

The Protected Characteristics

The UK's Equality Act protects individuals from discrimination based on nine protected characteristics, ensuring a fair and inclusive workplace.

Microlearning 5 Minutes Preventing Harassment Employment Rights Act For all staff

Victimisation

Victimisation occurs when someone is treated unfairly for making or supporting a complaint under the Equality Act.

Microlearning 5 Minutes For all staff

Stereotyping

Stereotypes are generalised beliefs about individuals or groups that can lead to prejudice and bias.

Microlearning 5 Minutes For all staff

Unconscious Bias

Unconscious bias occurs when we make judgments about people based on past experiences, cultural influences or assumptions.

Microlearning 5 Minutes Preventing Harassment Employment Rights Act For all staff

Understanding ESG

Companies are increasingly expected to integrate environmental, social and governance principles into their operations to attract investors.

Microlearning 5 Minutes ESG For all staff

Identifying Who is Vulnerable

Vulnerable individuals are those who face heightened risks of harm, abuse, neglect or exploitation due to various circumstances.

Microlearning 5 Minutes ESG For all staff

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.

Microlearning 5 Minutes ESG For all staff

Terrorist Financing Red Flags

Terrorist groups use legal and illegal methods to raise and move funds, often exploiting financial systems to conceal their activities.

Microlearning 5 Minutes Financial Crime For all staff

Understanding Terrorist Financing

Terrorist groups rely on financial support from various sources, both intentional and unintentional.

Microlearning 5 Minutes Financial Crime For all staff

Customer Due Diligence

Customer due diligence helps protect us against financial crime by verifying customer identities and understanding their business activities.

Microlearning 5 Minutes Financial Crime For all staff

Enhanced Customer Due Diligence

Enhanced customer due diligence is required for high-risk customers, including politically exposed persons, high-value transactions and clients from high-risk jurisdictions.

Microlearning 5 Minutes Financial Crime For all staff

Politically Exposed Persons

Politically exposed persons present a high risk of money laundering due to their influence and access to state resources.

Microlearning 5 Minutes Financial Crime For all staff

Suspicious Activity Reporting

Employees must report any knowledge or suspicion of money laundering or terrorist financing to the Money Laundering Reporting Officer.

Microlearning 5 Minutes Financial Crime For all staff

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.

Microlearning 5 Minutes Financial Crime For all staff

Customer Fraud

Customer fraud poses serious risks to businesses, from chargeback fraud to false complaints.

Microlearning 5 Minutes Fraud Prevention For all staff

Supplier Fraud

Supplier fraud occurs when vendors engage in deceptive practices, such as false invoicing, overpricing or bribery.

Microlearning 5 Minutes Fraud Prevention For all staff

Authorised Push Payment Fraud

Authorised push payment fraud occurs when scammers impersonate trusted figures to trick individuals into transferring money.

Microlearning 5 Minutes Fraud Prevention For all staff

False Representation

Fraud by false representation happens when someone deliberately provides misleading or untrue information for personal or financial gain.

Microlearning 5 Minutes Fraud Prevention For all staff

Economic Crime and Corporate Transparency Act 2023

The Economic Crime and Corporate Transparency Act 2023 (ECCTA) introduced a new corporate offence of failure to prevent fraud.

Microlearning 5 Minutes Fraud Prevention Failure to Prevent Fraud For all staff

Employee Fraud and Insider Threats

Employee fraud can take many forms, from theft and false expense claims to data misuse and conflicts of interest.

Microlearning 5 Minutes Fraud Prevention For all staff

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.

Microlearning 5 Minutes Fraud Prevention For all staff

Mandatory Leave

Mandatory leave is time off that certain organisations enforce to help prevent fraud, errors and other risk incidents.

Microlearning 5 Minutes Fraud Prevention For all staff

Preventing Corporate Fraud

Corporate fraud involves illegal activities committed by an organisation or individuals acting on its behalf.

Microlearning 5 Minutes Fraud Prevention For all staff

The Fraud Triangle

Fraud is often committed by ordinary people who find themselves in difficult situations and make poor choices.

Microlearning 5 Minutes Fraud Prevention For all staff

10 Essential Office Hygiene Practices

Hygiene is a key factor in maintaining a clean, safe and healthy workplace.

Microlearning 5 Minutes Health & Safety For all staff

10 Steps to Healthy Working

A fast-paced work environment can take a toll on physical and mental health if risks are not managed.

Microlearning 5 Minutes Health & Safety For all staff

COSHH

Exposure to hazardous substances in the workplace can cause serious health conditions, including respiratory diseases and skin disorders.

Microlearning 5 Minutes Health & Safety For all staff

Electricity

Electricity is essential in the workplace, but even minor mistakes can cause serious injuries, fires or fatalities.

Microlearning 5 Minutes Health & Safety For all staff

Fire

Fires pose a serious threat in any workplace, making fire prevention and safety measures essential.

Microlearning 5 Minutes Health & Safety For all staff

Noise

Prolonged or excessive noise can cause stress, hearing damage and other health risks.

Microlearning 5 Minutes Health & Safety For all staff

Personal Protective Equipment

Personal protective equipment is essential in minimising exposure to workplace hazards but should be the last line of defence.

Microlearning 5 Minutes Health & Safety For all staff

Transport

Work-related driving poses significant risks, contributing to a large percentage of road accidents.

Microlearning 5 Minutes Health & Safety For all staff

Work Equipment

Work equipment includes tools, machines and other devices used to perform tasks safely and efficiently.

Microlearning 5 Minutes Health & Safety For all staff

Working Safely

Workplace accidents occur frequently, but many are preventable through awareness and proper safety measures.

Microlearning 5 Minutes Health & Safety For all staff

Menopause Awareness

Menopause is a natural stage in life that can bring physical and emotional challenges and potentially affect work performance.

Microlearning 5 Minutes Health & Safety For all staff

Mental Health at Work

Stress, anxiety and depression are major workplace health risks, accounting for over half of work-related ill-health cases.

Microlearning 5 Minutes Health & Safety For all staff

New and Expectant Mothers at Work

When an employee is pregnant or returning from maternity leave, certain legal rights and health considerations apply.

Microlearning 5 Minutes Health & Safety For all staff

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.

Microlearning 5 Minutes Preventing Harassment Employment Rights Act For all staff

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.

Microlearning 5 Minutes Preventing Harassment Employment Rights Act For all staff

The 4D Bystander Intervention Model

Creating a safe and respectful workplace requires everyone to take action when witnessing bullying harassment or inappropriate behaviour.

Microlearning 5 Minutes Preventing Harassment Employment Rights Act For all staff

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.

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.

Microlearning 5 Minutes Fraud Prevention Failure to Prevent Fraud For all staff

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.

Microlearning 5 Minutes Fraud Prevention Failure to Prevent Fraud For all staff

Failure to Prevent Fraud (FTPF): Scope

Understand the scope of the Failure to Prevent Fraud offence and its implications for different types of companies.

Microlearning 5 Minutes Fraud Prevention Failure to Prevent Fraud For all staff

Failure to Prevent Fraud (FTPF): Prevention

Understand the six principles of fraud prevention to design and support effective anti-fraud controls.

Microlearning 5 Minutes Fraud Prevention Failure to Prevent Fraud For all staff

AML and CTF for Charities

Charities can inadvertently become vehicles for money laundering and terrorist financing, threatening their integrity and compliance.

Microlearning 5 Minutes For all staff

Anti-Bribery for Charities

Bribery in the charity sector can take subtle and complex forms, from cash payments to promises of preferential treatment.

Microlearning 5 Minutes For all staff

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.

Microlearning 5 Minutes For all staff

Communicating with the Charity Commission

Effective communication with the Charity Commission is essential for compliance, transparency and maintaining public trust.

Microlearning 5 Minutes For all staff

Data Protection for Charities

Handling personal data is a critical responsibility for charities, governed by data protection laws and essential for maintaining trust.

Microlearning 5 Minutes For all staff

Gifts and Hospitality for Charities

Gifts and hospitality can pose a risk of actual or perceived bribery in the charity sector.

Microlearning 5 Minutes For all staff

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.

Microlearning 5 Minutes For all staff

Managing Charity Finances

Managing charity finances requires spending responsibly, transparently and strictly for the charity's purpose.

Microlearning 5 Minutes For all staff

Managing Conflicts of Interest in a Charity

Conflicts of interest, whether actual or perceived, can harm a charity's decision-making and credibility.

Microlearning 5 Minutes For all staff

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.

Microlearning 5 Minutes For all staff

Safeguarding for Charities and Trustees

Safeguarding involves protecting people from harm, abuse and neglect.

Microlearning 5 Minutes For all staff

Conduct Rule 1: Act with Integrity

Integrity is a fundamental principle in financial services, ensuring ethical conduct and maintaining customer trust.

Microlearning 5 Minutes FCA Handbook For all staff

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.

Microlearning 5 Minutes FCA Handbook For all staff

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.

Microlearning 5 Minutes FCA Handbook For all staff

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.

Microlearning 5 Minutes FCA Handbook For all staff

Conduct Rule 5: Observe proper standards of market conduct

Financial markets rely on trust, integrity and adherence to established rules and ethical behaviour.

Microlearning 5 Minutes FCA Handbook For all staff

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.

Microlearning 5 Minutes FCA Handbook For all staff

Third-Party Harassment

Third‑party harassment is unwanted behaviour by someone who is not an employee, such as a customer, supplier, contractor or visitor.

Microlearning 5 Minutes Employment Rights Act For all staff

Learning objectives

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