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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.
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 in Financial Services
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 in Financial Services
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
Bring "Understanding Modern Slavery" training to life using animation characters and storylines.
Gifts and Hospitality
Bring "Gifts and Hospitality" compliance training to life using animation characters and storylines.
Spot a Phishing Attempt
Bring "Spot a Phishing Attempt" online training to life using animation characters and storylines.
Abuse of Position
Bring "Abuse of Position" training to life using animation characters and storylines.
Whistleblowing
Bring "Whistleblowing" online training to life using animation characters and storylines.
Money Laundering Red Flags
Bring "Money Laundering Red Flags" training to life using animation characters and storylines.
Business Email Compromise
Bring "Business Email Compromise" training to life using animation characters and storylines.
Speak Up
Bring "Speak Up" compliance training to life using animation characters and storylines.
Display Screen Equipment
Bring "Display Screen Equipment" e-learning to life using animation characters and storylines.
Identity Fraud
Bring "Identity Fraud" compliance training to life using animation characters and storylines.
Slips and Trips
Bring "Slips and Trips" online training to life using animation characters and storylines.
Manual Handling
Bring "Manual Handling" e-learning to life using animation characters and storylines.
Complaints Handling in Insurance
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)
As it does with any new legislation, the EU Commission conducted a post-implementation check on how the IMD was bedding in, and this review reached the conclusion that there was a need to review and recast the Directive.
Treating Customers Fairly in Insurance
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
Bring "Foreign Agent Bribery Risk" compliance training to life using animation characters and storylines.
Compliments vs Sexual Harassment
Bring "Compliments vs Sexual Harassment" compliance training to life using animation characters and storylines.
Failing to Disclose Information
Bring "Failing to Disclose Information" compliance training to life using animation characters and storylines.
Targets of Sexual Harassment
Bring "Targets of Sexual Harassment" online training to life using animation characters and storylines.
Forced Labour Indicators
Bring "Forced Labour Indicators" online compliance training to life using animation characters and storylines.
Interacting on Social Media
Bring "Interacting on Social Media" e-learning to life using animation characters and storylines.
Dealing With Stress at Work
Bring "Dealing With Stress at Work" online training to life using animation characters and storylines.
Deepfake Awareness
Bring "Deepfake Awareness" compliance training to life using animation characters and storylines.
Horizontal Agreements
Bring "Horizontal Agreements" e-learning to life using animation characters and storylines.
The Three Stages of Money Laundering
Bring "The Three Stages of Money Laundering" e-learning to life using animation characters and storylines.
Common Cyber Threats
Bring "Common Cyber Threats" online training to life using animation characters and storylines.
Preventing Tipping Off
Bring "Preventing Tipping Off" e-learning to life using animation characters and storylines.
Personal Data Breaches
Bring "Personal Data Breaches" online training to life using animation characters and storylines.
Understanding Sexual Harassment
Bring "Understanding Sexual Harassment" online learning to life using animation characters and storylines.
Understanding Facilitation Payments
Bring "Understanding Facilitation Payments" e-learning to life using animation characters and storylines.
Data Protection Impact Assessments
Bring "Data Protection Impact Assessments" online training to life using animation characters and storylines.
Zero Trust Cybersecurity
Bring "Zero Trust Cybersecurity" online training to life using animation characters and storylines.
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 "Bring Your Own Device Security" training to life using animation characters and storylines.
Device Hygiene
Bring "Device Hygiene" training to life using animation characters and storylines.
Malware
Bring "Malware" training to life using animation characters and storylines.
Ransomware
Bring "Ransomware" training to life using animation characters and storylines.
Smishing
Bring "Smishing" training to life using animation characters and storylines.
Spear Phishing
Bring "Spear Phishing" training to life using animation characters and storylines.
Video Conferencing
Bring "Video Conferencing" training to life using animation characters and storylines.
Vishing
Bring "Vishing" training to life using animation characters and storylines.
Creating Strong Passwords
Bring "Creating Strong Passwords" training to life using animation characters and storylines.
Multi-factor Authentication
Bring "Multi-factor Authentication" training to life using animation characters and storylines.
Reacting to Password Breaches
Bring "Reacting to Password Breaches" training to life using animation characters and storylines.
Information Classification
Bring "Information Classification" training to life using animation characters and storylines.
Information Security on the Move
Bring "Information Security on the Move" training to life using animation characters and storylines.
Tailgating and Piggybacking
Bring "Tailgating and Piggybacking" training to life using animation characters and storylines.
Secure Web Browsing
Bring "Secure Web Browsing" training to life using animation characters and storylines.
Supply Chain Cybersecurity
Bring "Supply chain cybersecurity" training to life using animation characters and storylines.
Transferring Information Securely
Bring "Transferring Information Securely" training to life using animation characters and storylines.
Using Wi-Fi safely
Bring "Using Wi-Fi safely" training to life using animation characters and storylines.
Advising Customers on Cybersecurity
Bring "Advising customers on cybersecurity" training to life using animation characters and storylines.
CEO Fraud
Bring "CEO fraud" training to life using animation characters and storylines.
Guide to Secure Remote Working
Bring "Guide to Secure Remote Working" training to life using animation characters and storylines.
Think Before You Click
Bring "Think before you click" training to life using animation characters and storylines.
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
Bring "Cartels" training to life using animation characters and storylines.
Trade Association Red Flags
Bring "Trade Association Red Flags" training to life using animation characters and storylines.
Vertical Agreements
Bring "Vertical Agreements" training to life using animation characters and storylines.
Online Selling Restrictions
Bring "Online Selling Restrictions" training to life using animation characters and storylines.
Resale Price Maintenance
Bring "Resale Price Maintenance" training to life using animation characters and storylines.
Tying and Bundling
Bring "Tying and Bundling" training to life using animation characters and storylines.
Dawn Raids
Bring "Dawn Raids" training to life using animation characters and storylines.
Abuse of Dominant Position
Bring "Abuse of Dominant Position" training to life using animation characters and storylines.
Risks in the Use of AI
Bring "Risks in the Use of AI" training to life using animation characters and storylines.
Stereotyping
Bring "Stereotyping" training to life using animation characters and storylines.
Understanding ESG
Bring "Understanding ESG" training to life using animation characters and storylines.
Identifying Who is Vulnerable
Bring "Identifying Who is Vulnerable" training to life using animation characters and storylines.
Screening Employees in Safeguarding Roles
Bring "Screening Employees in Safeguarding Roles" training to life using animation characters and storylines.
Terrorist Financing Red Flags
Bring "Terrorist Financing Red Flags" training to life using animation characters and storylines.
Understanding Terrorist Financing
Bring "Understanding Terrorist Financing" 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
Bring "Politically Exposed Persons" training to life using animation characters and storylines.
Suspicious Activity Reporting
Bring "Suspicious Activity Reporting" training to life using animation characters and storylines.
Unexplained Wealth Orders
Bring "Unexplained Wealth Orders" training to life using animation characters and storylines.
Supplier Fraud
Bring "Supplier Fraud" training to life using animation characters and storylines.
Authorised Push Payment Fraud
Bring "Authorised Push Payment Fraud" training to life using animation characters and storylines.
False Representation
Bring "False Representation" training to life using animation characters and storylines.
Employee Fraud and Insider Threats
Bring "Employee Fraud and Insider Threats" training to life using animation characters and storylines.
Fraud Offences and Penalties
Bring "Fraud Offences and Penalties" training to life using animation characters and storylines.
Mandatory Leave
Bring "Mandatory Leave" training to life using animation characters and storylines.
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
Bring "10 Essential Office Hygiene Practices" training to life using animation characters and storylines.
10 Steps to Healthy Working
Bring "10 Steps to Healthy Working" training to life using animation characters and storylines.
Fire
Bring "Fire" training to life using animation characters and storylines.
Personal Protective Equipment
Bring "Personal Protective Equipment" training to life using animation characters and storylines.
Transport
Bring "Transport" training to life using animation characters and storylines.
Work Equipment
Bring "Work Equipment" training to life using animation characters and storylines.
Menopause Awareness
Bring "Menopause Awareness" training to life using animation characters and storylines.
Mental Health at Work
Bring "Mental Health at Work" training to life using animation characters and storylines.
New and Expectant Mothers at Work
Bring "New and Expectant Mothers at Work" training to life using animation characters and storylines.
Understanding Intellectual Property
Bring "Understanding Intellectual Property" training to life using animation characters and storylines.
Don't Deal with Inside Information
Bring "Don't Deal with Inside Information" training to life using animation characters and storylines.
Understanding Inside Information
Bring "Understanding Inside Information" training to life using animation characters and storylines.
Understanding Market Abuse
Bring "Understanding Market Abuse" training to life using animation characters and storylines.
Unlawful Disclosure of Inside Information
Bring "Unlawful Disclosure of Inside Information" training to life using animation characters and storylines.
The Three Characteristics of Harassment
Bring "The Three Characteristics of Harassment" training to life using animation characters and storylines.
Minimum Disclosure Rules
Bring "Minimum Disclosure Rules" training to life using animation characters and storylines.
Unwanted Behaviour of a Sexual Nature
Bring "Unwanted Behaviour of a Sexual Nature" training to life using animation characters and storylines.
The 4D Bystander Intervention Model
Bring "The 4D Bystander Intervention Model" training to life using animation characters and storylines.
Understanding Tax Evasion
Bring "Understanding Tax Evasion" training to life using animation characters and storylines.
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.
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.
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.
Records Management
Records management involves the process of how employees create, store, archive and dispose of business records.
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.