Financial & Business Integrity

Dive into the critical aspects of anti-corruption and anti-bribery compliance, covering definitions, global laws, and prevention strategies. This CPD-certified comprehensive micro-course includes lessons on identifying warning signs and implementing measures to uphold integrity and legal standards worldwide.

Explore the essentials of combating money laundering and terrorist financing with this CPD-certified micro-course. Learn to identify, assess, and manage risks associated with illegal financial activities, covering key legislation, detection techniques, and preventive measures to safeguard your organisation.

Get equipped with essential knowledge to navigate complex UK tax regulations confidently. Learn to distinguish between legal avoidance and illegal evasion, understand key legislation including the Criminal Finances Act 2017, and implement robust prevention procedures

Client money rules protect client funds and uphold trust in financial services. Learners explore what qualifies as client money, how segregation and trust accounts operate, and the responsibilities under the FCA’s CASS framework. Practical scenarios highlight reconciliations, governance, reporting, and ways to avoid common compliance pitfalls.

The training explains the principles of UK competition law and why compliance matters for every business. Learners explore key risks such as anti-competitive agreements, cartels, resale price maintenance, and abuse of dominant market position, with practical examples of what crosses the legal line. It provides guidance on best practices, staff training, and responding to regulator investigations, helping organisations avoid penalties, protect their reputation, and compete fairly.

 

This CPD-certified micro-course is designed to provide a comprehensive understanding of consumer duties in the financial services sector, focusing on compliance with the Financial Conduct Authority (FCA) standards. Participants will gain insights into the FCA’s vision, key regulations, and best practices to ensure fair treatment of customers, particularly vulnerable ones.

Economic sanctions restrict trade, goods, services, and technology to influence the behaviour of targeted states, groups, or individuals. They can apply to entire industries, exports, or imports not just financial assets. Understanding these measures helps employees recognise prohibited transactions, manage supply chain risks, and ensure compliance with international restrictions. 

ESG compliance in finance focuses on managing sustainability risks, ensuring transparent disclosures, strengthening governance, and avoiding misleading claims. It helps financial institutions align operations with regulatory expectations and build long-term stakeholder trust.

Dive into the Financial Conduct Authority (FCA) Code of Conduct with this CPD-certified course for financial services professionals. Master the FCA regulations, including Individual and Senior Manager Conduct Rules. Explore the critical importance of compliance, understand the consequences of non-adherence, and develop strategies for ongoing compliance.

Master the regulatory framework for senior managers that drives financial services accountability. This SM&CR training explores the Senior Managers Regime, Certification Regime, and Conduct Rules. You'll understand approval processes, fit and proper assessments, personal accountability requirements, and practical strategies to embed strong governance culture while ensuring full regulatory compliance.

Employees gain a clear understanding of what financial crime is, why it poses serious risks to businesses, and how to recognise common types such as fraud, bribery, money laundering, and sanctions breaches. The training highlights red flags, prevention measures, and reporting procedures under UK law, helping staff stay vigilant and compliant.

Financial sanctions are a critical tool for protecting national security and enforcing foreign policy. The course explains how UK sanctions work, who must comply, and the role of regulators like OFSI. Learners will explore how to identify designated persons, freeze assets, carry out screening, and report breaches. Through practical examples and case studies, the course shows how to apply the rules in daily work and avoid serious legal or reputational risks.

Navigate the complexities of anti-corruption compliance under the FCPA. Learn to identify red flags, implement effective prevention strategies, and understand enforcement risks. Master practical approaches to preventing bribery, maintaining accurate records, and developing robust compliance programs across international operations.

Protect your firm and customers from fraud with this CPD-certified course for regulated firms. Learn about different types of fraud affecting financial services, from payment fraud to insider threats. Understand your role in spotting warning signs, reporting suspicious activity, and following key controls.

This comprehensive CPD-certified course focuses on the critical area of Gifts & Hospitality in the workplace. Navigate the complexities of offering and receiving gifts, understanding regulatory requirements and company policies. The course covers how to identify inappropriate gifts, manage hospitality ethically, and avoid potential conflicts of interest.

Gain essential knowledge on market abuse for financial services professionals. Learn about different types of market abuse, warning signs, and your responsibilities around personal account dealing. Understand FCA reporting obligations and the serious consequences of non-compliance. This CPD-certified course covers key controls, prevention measures, and enforcement actions to protect yourself, your firm, and market integrity.

MiFID II strengthens transparency, fairness, and investor protection in financial markets. The course explains key obligations around client classification, conduct standards, product governance, disclosures, and reporting. Learners will gain practical guidance on applying these rules to everyday decisions, helping them protect investors, meet FCA standards, and support a culture of compliance.

This course explains the framework for product governance, focusing on investor protection, fair conduct, and accountability. Learners explore the responsibilities of both manufacturers and distributors, including target market definition, distribution strategies, and ongoing product reviews. By applying these principles, firms can meet regulatory obligations, avoid mis-selling, and deliver products that serve client needs.

 

Master the essentials of risk management with this practical course. Learn how to identify, assess, and respond to risk across operations, strategy, and compliance. Discover frameworks like MoR, meet regulatory expectations, and build a risk-aware culture across all levels of your organisation.

Learners explore the FCA’s SYSC framework, which sets out how firms must be governed, controlled, and held accountable. The training highlights senior managers’ personal responsibility for oversight, even when tasks are delegated, and provides guidance on allocating and documenting responsibilities. 

This course covers UK Suspicious Activity Reporting requirements for financial crime prevention. Learn to: - identify money laundering and terrorist financing red flags - understand legal obligations under POCA and TACT - master the SAR submission process via NCA's portal - maintain strict confidentiality to avoid tipping-off offences Essential training for all employees handling financial transactions.

The course introduces the FCA’s Training and Competence (T&C) regime, explaining how firms must ensure employees are suitably qualified, supervised, and continuously developing their skills. Learners explore how competence is assessed, maintained, and evidenced through CPD, supervision, and record-keeping. By following best practices, firms can protect consumers, meet regulatory standards, and build a culture of professionalism and accountability.

This course explores the FCA's Treating Customers Fairly initiative, equipping financial services professionals with essential knowledge to embed fair treatment principles in daily operations. Learn how TCF connects to regulatory frameworks, understand the six consumer outcomes, identify warning signs of non-compliance, and distinguish between good and bad practices to deliver positive customer experiences.

This comprehensive CPD-certified course explores the critical topic of vulnerable customers in the workplace. Learn to identify and support vulnerable customers, understand regulatory requirements, and develop an effective Customer Vulnerability policy. Gain insights into assessing and responding to vulnerable customer needs, while mastering monitoring and reporting mechanisms.