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Data Protection
Data protection relates to how all organisations collect, use, and store personal and sensitive data.
Preventing Sexual Harassment
Companies rightly have a zero-tolerance policy for sexual harassment, and violations may lead not only to disciplinary action but also to perpetrator prosecution.
Anti-Bribery Training
Despite a worldwide effort to eradicate bribery, it is still prevalent in many countries and presents a real risk for businesses.
Equality and Diversity in the Workplace
Making employment decisions or treating people differently based on stereotypes isn't just bad for business; it's illegal.
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Anti-Money Laundering & Counter-Terrorist Financing
To prevent criminal activity, nearly all countries in the world have committed themselves to extremely tough laws against money laundering and terrorist financing.
Anti-Money Laundering
To prevent the proceeds of crime from finding their way into the formal economy, most countries have extremely tough laws with severe penalties.
Bribery Prevention
Despite a worldwide effort to eradicate bribery, it is still prevalent in many countries and presents a real risk for businesses.
Preventing the Facilitation of Tax Evasion
Tax laws don't only apply to those who calculate or manage taxes.
Financial Sanctions
Financial and economic sanctions are binding prohibitions applied by governments to prevent business transactions with certain designated persons.
Market Abuse Regulation
The laws and regulations prohibiting market abuse apply to all employees, not only those engaged in front-office, client dealing or trading roles.
Bribery Prevention
Despite a worldwide effort to eradicate bribery, it is still prevalent in many countries and presents a real risk for businesses.
Phishing
It's essential for your employees to know what phishing is, how to spot the signs of an attempt and how to protect themselves and your Company.
Fire Safety
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.
Preventing the Facilitation of Tax Evasion
Tax laws don't just apply to those who deal with calculating or managing taxes.
Gifts and Hospitality
Gifts and hospitality are an important part of business, and companies worldwide employ this.
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.
Information Security
The loss or theft of commercially sensitive information may damage revenues, reputation and consumer trust.
Embargoes and Sanctions
Embargoes and sanctions prohibit all transactions with an entity, trading of certain commodities, or supplying critical goods.
Working Safely
Employees need to know how to protect their own health, safety and welfare as well as ensuring they don't cause harm to others.
Customer Due Diligence
Customer Due diligence is a legal requirement and plays a vital role in protecting your Company.
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.
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.
Anti-Competitive Agreements
Any agreement between companies that restricts market competition is a criminal offence.
Good Outcomes for Vulnerable Customers
Companies have a legal obligation to identify the signs of vulnerability and ensure that vulnerable individuals are treated fairly.
Overview of the Consumer Duty
The FCA's Consumer Duty is a new standard which addresses the conduct of firms.
Whistleblowing in Financial Services
Our Whistleblowing training course educates employees on reporting misconduct safely and ensures protection.
Complaints Handling
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.
Treating Customers Fairly
Treating Customers Fairly (TCF) applies to firms in the financial services industry.
Personal Conflicts of Interest
The FCA states that a firm must manage conflicts of interest between itself and its customers or other clients.
Introduction to UK Financial Regulation
NEDs are an important part of a firm's governance and provide independence and oversight.
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.
CASS Overview
The FCA's Client Assets Sourcebook (CASS) supports Principle 10 of the FCA's Principles for Businesses.
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.
Understanding Modern Slavery
Modern slavery remains a persistent, inhumane practice affecting millions through forced labour, trafficking and exploitation.
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.
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.
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.
Complaints Handling
The number of complaints submitted in the Insurance sector has increased year on year in recent times in the UK.
Conflicts of Interest in Insurance
A conflict of interest is where competing interests interfere with the exercising of judgement in a relationship.
ICOBS - General Matters
The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business.
Insurance Distribution Directive (IDD)
The Insurance Distribution Directive (IDD) replaced the Insurance Mediation Directive (IMD) in February 2018.
Treating Customers Fairly
Treating Customers Fairly (TCF) applies to firms in the Insurance industry.
Modern Slavery
Modern slavery is a serious crime with harsh penalties.
Records Management
Records management refers to employees' creation, storage, archiving, and disposal of business records.
Slips and Trips
Educate your staff on the controls that your Company has in place and what they should do to prevent slips and trips at work.
Mental Health at Work for Managers
Stress, anxiety and depression are serious health hazards in the workplace.
First Aid Awareness
Regardless of whether an injury or illness has been caused by work, it is important that employees receive immediate support.
General Office Hygiene
Educate your staff on general office hygiene protocols to reduce common viruses and infections from spreading at the workplace.
Principles for Businesses
The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.
Ethical Standards in Finance and Investment
The FCA's ethical standards apply to individuals in finance and investment.
Training and Competence
Training and Competence (T&C) forms an important part of UK regulations under the FCA.
COBS - Client Communications and Financial Promotions
The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.
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.
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.
Dealing With Stress at Work
Workplace stress can arise from tight deadlines, high-pressure environments and personal challenges.
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.
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.
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.
COBS - Client Categorisation
The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.
Information Barriers
The flow of information in financial firms needs monitoring between businesses involved with private and public side activities.
Senior Management Arrangements Systems and Controls
The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms.
Fit and Proper Assessments
In order to perform a Senior Management Function (SMF), Senior Managers need to be approved by the FCA and, for dual regulated firms, the PRA.
Conduct Rules for Non-Executive Directors (NEDs)
NEDs are an important part of a firm's governance and provide independence and oversight.
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).
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.
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.
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.
Stereotyping
Stereotypes are generalised beliefs about individuals or groups that can lead to prejudice and bias.
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.
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.
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.
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.
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.
Fire
Fires pose a serious threat in any workplace, making fire prevention and safety measures essential.
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.
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 Market Abuse
Market abuse distorts financial markets and disadvantages investors.
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.
Corrupt Hiring Practices
Diligence in hiring new employees is no longer limited to education, experience and references.
To Pay or Not To Pay?
Small facilitation payments made to officials for expediting a permit or approval might seem harmless, but they are illegal and could land your employees in prison.
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.
CASS 6 - Custody Rules
The rules and guidance in CASS 6 apply to a firm when it is safeguarding and administering custody assets.
CASS 7 and 7A - Client Money Rules and Client Money Distribution and Transfer
The rules and guidance in CASS aim to achieve the FCA's objective of ensuring that consumers are adequately protected.
CASS 8 - Mandates
Under the requirements of CASS 8, you must understand what a mandate is and how to deal with them.
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.
COBS - Appropriateness
The FCA's Conduct of Business Sourcebook (COBS) applies to financial firms that deal with customer investments on an execution-only basis.
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.
COBS - Suitability
The FCA Conduct of Business Sourcebook (COBS) applies to finance and investment firms in the UK.
Control of Substances Hazardous to Health (COSHH)
Educate your staff on the risks of using hazardous substances as well as what they should do to prevent accidents and incidents when using them.
Electricity
Educate your staff on the controls your Company has in place and what they should do to stay safe and manage the risks associated with electricity and electrical devices.
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.
Lone Working
Lone working offers greater flexibility, autonomy and creates a broader talent pool for businesses.
New and Expectant Mothers at Work
Being a new or expectant mother is an exciting time.
Noise
Educate your staff on the controls that your Company has in place and what they should do to prevent exposure to noise at work.
Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation in Finance
The Packaged Retail and Insurance-based Investment Product (PRIIP) Regulation affects retail investors who need to understand the complexities of these products.
Responsible Use of Artificial Intelligence
Companies are committed to ensuring the ethical and responsible use of AI technologies.
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.
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.