https://mycomplianceacademy.co.uk/wp-content/uploads/2024/07/car-dealer-using-tablet-to-help-buyers-2023-11-27-04-56-34-utc.mp4This is an entry level course for those who may be new to a role in a consumer credit brokerage firm. It may also be a useful reminder for Senior Managers.
The Individual Conduct Rules
https://mycomplianceacademy.co.uk/wp-content/uploads/2023/03/individual.mp4This course provides a brief overview of the Senior Managers & Certification regime (SMCR) which is the individual accountability regime that applies to firms authorised under the Financial Service & Markets Act 2000 (FSMA).The content is relevant to individual conduct rules staff in limited scope or core firms, acts as...
The Appointed Representative Regime
https://mycomplianceacademy.co.uk/wp-content/uploads/2023/03/Untitled-800-×-400-px.mp4 This course covers the new rules which came into force on 8 December 2022 and applies to firms authorised under the Financial Service & Markets Act 2000 (FSMA) which have responsibility for appointed representative (ARs). The content assumes an existing knowledge of AR supervision and the previous regulatory landscapes. After completing this Appropriate...
An Introduction to Consumer Duty for Sales and Compliance Staff – Part 1
https://mycomplianceacademy.co.uk/wp-content/uploads/2023/03/CDsales1-1.mp4 The Consumer Duty aims to increase the current level of consumer protection in the retail financial services market by setting clearer and higher standards for the culture of firms and the conduct the FCA expects of them. Firms will be required to consider the impact of the products and...
An Introduction to Consumer Duty for Sales and Compliance Staff – Part 2
https://mycomplianceacademy.co.uk/wp-content/uploads/2023/03/CDsales2.mp4 The FCA's Consumer Duty represents what the regulator terms a paradigm shift in its expectations of firms. The Consumer Duty introduces a new Consumer Principle, which requires firms to act to deliver good outcomes for retail customers. To complete this module, please click on the link below and then...
Financial Crime
https://mycomplianceacademy.co.uk/wp-content/uploads/2023/03/crime.mp4 Financial crime covers any criminal conduct relating to financial services and markets including fraud, and every FCA-compliant firm needs to ensure that measures are in place to mitigate the risks. To complete this module, please click on the link below and then click on read, working your way through...
