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EU Conduct and Ethics in Financial Services training

Five microlessons on your personal conduct obligations under EU financial services law: MiFID II, conflicts and inducements, market abuse and speaking up, with a certificate of completion.

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Conduct and Ethics in Financial Services (EU) course preview
5Short, TikTok-style microlessonsIn the browser or the iOS and Android apps

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  • OnlineSelf-paced format
  • 5Microlessons
  • IncludedCertificate of completion
About this course

What the EU Conduct and Ethics in Financial Services course covers

This course covers your personal conduct obligations under EU financial services law in five microlessons. It explains the MiFID II best interests standard, conflicts of interest and inducements, market abuse under MAR, and whistleblowing protections, so you can act honestly, fairly and professionally with every client.

Learning outcomes

What your people will be able to do

  • Apply EU conduct rules under MiFID II, MAR and CRD/IFD
  • Assess client suitability and meet the MiFID II best interests and documentation requirements
  • Identify and manage conflicts of interest, and apply the disclosure rules
  • Detect and report inside information and market abuse under MAR
  • Follow personal conduct standards, personal account controls and cooperate openly with regulators
  • Use internal reporting channels and whistleblower protections to escalate breaches
Course contents

5 microlessons

Each microlesson is a short, TikTok-style video lesson.

1The EU Framework and Your Conduct Obligations
2Treating Clients Fairly: MiFID II in Practice
3Conflicts of Interest and Inducements
4Market Abuse and Inside Information
5Speaking Up, Reporting, and Building an Ethical Culture

  1. The EU Framework and Your Conduct Obligations: The EU rules behind your personal conduct obligations.
  2. Treating Clients Fairly: MiFID II in Practice: The MiFID II best interests standard and suitability in practice.
  3. Conflicts of Interest and Inducements: Identifying and managing conflicts, and the rules on inducements.
  4. Market Abuse and Inside Information: Spotting and reporting inside information and market abuse under MAR.
  5. Speaking Up, Reporting, and Building an Ethical Culture: Internal reporting channels and whistleblower protection.
A 5Mins certificate of completion for Conduct and Ethics in Financial Services (EU), lying on a desk next to a laptop
Certificate

A certificate for every learner who completes it

Learners finish every microlesson. 5Mins then issues a certificate of completion for Conduct and Ethics in Financial Services (EU).

  • Certificates and e-signatures stored against each learner
  • Audit-ready records, ready whenever an auditor asks
  • Completion shows on the Compliance Dashboard in real time
Audience and regulation

Who it's for and the law it covers

Who it's for

  • Employees of EU banks, investment firms and asset managers
  • Client-facing advisers, sales and trading teams
  • Managers who set the tone for an ethical culture

Laws covered

  • MiFID II (Directive 2014/65/EU). Requires investment firms to act honestly, fairly and professionally in clients' best interests, and to manage conflicts of interest.
  • Market Abuse Regulation (EU) No 596/2014 (MAR). Prohibits insider dealing, unlawful disclosure of inside information and market manipulation.
  • EU Whistleblowing Directive (EU) 2019/1937. Protects people who report breaches of EU law, including financial services rules.
How it runs in 5Mins

Assign it once, then let 5Mins do the chasing

Every course in the 5Mins library runs on the same zero-admin engine.

  • EnrollAuto-enroll

    Enroll people automatically from your HR system, with 100+ HRIS platforms supported.

  • RemindReminders

    Nudges by email, Slack, Microsoft Teams and push until the course is done.

  • RepeatRecurrence

    Set the course to repeat, for example every 12 months, and 5Mins re-enrolls people for you.

  • CertifyCertificates

    Certificates and e-signatures are issued and stored for every completion.

  • ProveAudit-ready records

    See who is complete, at risk or overdue on the Compliance Dashboard, and prove it any time.

Customer stories

Compliance teams that swapped chasing for results

Compliance, HR and L&D leaders on what changed when they moved their training to 5Mins. Pick a team to see what changed.

ComplianceCompliance Training Insurance, 205 colleagues 100%

compliance completion and pass rate since go-live

  • ~1 day saved on each compliance course (HR estimate)
  • Automated reminders and reporting

Since go-live, our compliance completion and pass rates are 100%, and it's the quickest we've ever got there. Automated reminders and reporting save us about a day per course.

Laura ChappellLaura ChappellHR Director, Collingwood
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ComplianceCompliance Training Insurance and emergency accommodation 87%

less session time, from 2.5-3 hour sessions to modules of 25 minutes at most

  • 12 monthly sessions a year, up from 3-4
  • 95% content creation time saved

Our compliance sessions used to be two and a half to three hours in a room, and we could fit in three or four a year. Now we cover one topic a month, and I can see exactly what people are retaining.

Lucy WybornLucy WybornDirector of Learning and Development, ICAB
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ComplianceCompliance Training Legal services 80%

completion on mandatory training, up from 20%

  • Mobile microlessons finished between calls
  • Manager view of each team's progress

We were sitting at 20% completion on our mandatory training. We're now at 80%. People finish short lessons between calls, on mobile, and managers can see where their teams are, so chasing completion is no longer a one-person job.

Jamie WaltonJamie WaltonGroup Learning and Development Officer, Winn Solicitors
See more customer stories
ComplianceCompliance Training Fintech and digital banking On demand

training log showing who did what, when, and the pass rate

  • Any device phone or laptop, at their own pace
  • Rolling refreshers through the year

When I engage with the FCA, I can show that every team has had training tailored to their role, that it's up to date, and that it runs throughout the year, with a full log of who's done what.

Abdul GofurAbdul GofurHead of Compliance & Anti-Financial Crime, nsave
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★ Free sample lesson

See 5Mins in action with a free sample lesson

Interested in EU Conduct and Ethics in Financial Services training? Request a free sample lesson, book a short demo with our team, and we'll share your sample lessons after the call.

  • Real microlessons from our library
  • A short demo with our team
  • No card needed

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Free course catalogues

Take the catalogues with you

Free PDF catalogues to share with your compliance lead, your managers or your board.

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Global Financial Compliance Catalogue

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Your questions answered

Questions about EU Conduct and Ethics in Financial Services training

How long is the EU Conduct and Ethics in Financial Services course?

It's made up of 5 microlessons, each under 5 minutes. Learners can finish it in one sitting or spread it over a few days, and 5Mins sends reminders until it is done.

Is there a certificate?

Yes. Learners get a certificate of completion once they finish every microlesson. The record is stored in 5Mins for audits.

Who should take this course?

Employees of EU financial services firms, especially client-facing, sales and trading teams, and the managers who lead them.

Is there an assessment?

No. This course is made up of microlessons only. Learners get a certificate of completion when they finish.

Is there a global version?

Yes. Conduct and Ethics in Financial Services (Global) covers the same topics across major markets.

Can I try the course first?

Yes. Request a free sample lesson and book a short demo with our team. After your demo, we'll share sample lessons with you so you can see the format for yourself.

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