Evidence you can produce in one click
CoreCompliance is FCA compliance training for small UK financial services firms with no dedicated compliance function. Every completion is recorded as it happens, so you can download a report showing each staff member, the course, the date, the score and the CPD certificate where one applies. It is built for the moment somebody asks you to prove it.
| Course▲▼ | Name▲▼ | Status▲▼ | Score %▲▼ | Completed▲▼ |
|---|---|---|---|---|
| Anti-Money Laundering and Counter Terrorist Financing (UK) | Helen Marsh | Completed | 100 | 04/09/2026 |
| Anti-Money Laundering and Counter Terrorist Financing (UK) | Priya Raman | Completed | 90 | 31/08/2026 |
| Consumer Duty | Helen Marsh | Completed | 90 | 02/09/2026 |
| Consumer Duty | Daniel Okonjo | Incomplete | 0 | |
| Consumer Duty | Priya Raman | Completed | 100 | 29/08/2026 |
| Market Abuse (UK) | Priya Raman | Completed | 100 | 28/08/2026 |
| Non-Financial Misconduct | Daniel Okonjo | Completed | 100 | 01/09/2026 |
| SM&CR Conduct Rules | Helen Marsh | Incomplete | 0 |
An illustration of the downloadable report. The live report also carries email address, start date, deadline and time spent, and every column sorts.
Three moments where the evidence has to already exist
None of these give you time to reconstruct a training record. In each one, the record either exists already or it does not.
FCA supervision
A supervisor asks what training your staff have completed on a specific topic. The answer is a report you send the same day, covering everyone, with dates, rather than a folder of certificates and an apology about the gaps.
A Section 166 review
A skilled person is appointed and works through your arrangements. Training and competence is part of the scope. What they want is the record, in one file, without your firm spending a fortnight assembling it.
An employment tribunal
A dismissal or grievance turns on whether the individual was trained on the thing they are alleged to have got wrong. Completion dates and scores are the difference between an assertion and a record.
The evidence is already there
Every completion is recorded as it happens, so producing the report is a download rather than a data-gathering exercise. When somebody asks what your staff were trained on and when, the answer already exists.
Spreadsheets record completions. They do not create an audit trail.
Most small firms start with a spreadsheet and a folder of PDF certificates. It works, in the sense that the information exists somewhere. It stops working the moment somebody external asks a specific question with a deadline attached.
A spreadsheet has no record of who changed it or when. It does not chase anyone. It does not issue certificates. And it is only as current as the last time somebody remembered to update it, which is usually the week before the request arrived.
Spreadsheets track completions. They do not automate reminders, issue certificates, or create an auditable record.
What the evidence does and does not prove
It evidences training. It does not make your firm compliant.
A complete training record is one part of what a regulated firm has to be able to show. It does not stand in for your permissions, your policies, your systems and controls, or the judgement of whoever is accountable for them.
It covers what you assigned.
The report is a faithful record of the training your firm assigned and staff completed. Deciding what a given role needs to be trained on is a judgement about your firm's activities and permissions, and it stays with you or your consultant.
It is not a regulatory return.
This is your own evidence, produced on demand and in your own hands. It is not a submission to the FCA and it does not replace any reporting obligation your firm already has.
Your questions, answered
What is actually in the report?
Every staff member, every course they have completed, the date, the score where the course is assessed, and the CPD certificate where one applies.
How long does it take to produce?
It is a download, not a request. The record is built as staff complete their training, so producing it is a matter of seconds rather than a data-gathering exercise.
Does it include people who have left?
Yes. Leavers stay in the record, which matters because the question you get asked is usually about a period rather than about your current headcount.
What happens to a seat when somebody leaves?
A seat is a licence rather than a person. Remove the leaver and add their replacement on the same seat, so a change in the team does not mean buying another seat.
Is this enough on its own if we are reviewed?
It is your training evidence, and it is the part most small firms cannot produce quickly. It is not the whole of what a review looks at. Your permissions, policies, systems and controls sit outside it.
What about the non-financial misconduct rules?
The non-financial misconduct rules commenced on 1 September 2026 and apply to every SM&CR firm regardless of size. Training and the evidence of it are included in your CoreCompliance subscription at no additional cost.