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...

FCA Consumer Compliance Full Course – for Sales and Compliance Staff

https://mycomplianceacademy.co.uk/wp-content/uploads/2023/03/salesandcompliance.mp4  This complete consumer credit compliance course will guide your business and staff through everything you need to know about being FCA Compliant including: FCA Permissions Consumer Credit Financial Promotions Complaints Financial Crime Vulnerable Customers The Senior Managers & Certification Regime An Introduction to Consumer Duty - Part 1 An...

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...

Complaints

https://mycomplianceacademy.co.uk/wp-content/uploads/2023/03/complaints.mp4 Complaints are not necessarily detrimental to your company if handled carefully and may even bring about positive change. Here we cover the FCA regulations on complaints and look at processes to ensure continual and effective improvement. To complete this complaints training module, please click on the link below and...

Consumer Credit

https://mycomplianceacademy.co.uk/wp-content/uploads/2023/02/consumercredit.mp4 This course covers a brief history of Consumer Credit regulations, helps you to understand the different types of consumer credit and know which types of credit agreement are regulated by the FCA. By the end of this consumer credit compliance course, you will have an appreciation of the developments...

Financial Promotions

https://mycomplianceacademy.co.uk/wp-content/uploads/2023/02/financialpromos.mp4 All financial promotions must be fair, clear and not misleading with a clear set of safeguards in place for the consumer as set out by the FCA. In this module we explore what defines a financial promotion, exemptions and common misconceptions. To complete this module, please click on the link...

An Introduction to Consumer Duty for Senior Managers and Directors – Part 2

https://mycomplianceacademy.co.uk/wp-content/uploads/2023/02/CD2.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”. By the end of this course you will be informed and knowledgeable about...

An Introduction to Consumer Duty for Senior Managers and Directors – Part 1

https://mycomplianceacademy.co.uk/wp-content/uploads/2023/02/CD1.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...

The Senior Managers & Certification Regime

https://mycomplianceacademy.co.uk/wp-content/uploads/2023/02/SMCR.mp4 The Senior Managers and Certification Regime (SMCR) is a financial services regulation in the UK designed to impose personal accountability on senior managers at financial services firms and improve the conduct of all employees at these firms. This Senior Managers and Certification Regime (SMCR) course provides an overview of the Senior Managers...

Vulnerable Customers

https://mycomplianceacademy.co.uk/wp-content/uploads/2023/02/vulnerable.mp4 This module explores the definition of a vulnerable customers, the signs to look out for and the obligations of FCA compliant firms in putting in processes to both identify and cater for vulnerable customers. To complete this module, please click on the link below and then click on read,...

FCA Permissions

https://mycomplianceacademy.co.uk/wp-content/uploads/2023/01/FCApermission.mp4 The FCA is to use new powers to more swiftly cancel or change what regulated activities firms are permitted to do, these are known as permissions. By the end of this FCA permissions course, you will have an good knowledge of The Part 4A permission​, exemptions & exclusions​, consumer credit...

FCA Consumer Compliance Full Course – for Senior Managers and Directors

https://mycomplianceacademy.co.uk/wp-content/uploads/2023/01/Untitled-800-×-400-px-2.mp4 This complete course will guide you through everything you need to know about being FCA Compliant including: FCA Permissions Consumer Credit Financial Promotions Complaints Financial Crime Vulnerable Customers The Senior Managers & Certification Regime An Introduction to Consumer Duty - Part 1An Introduction to Consumer Duty  - Part 2 Each...

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