• Doing business with the FSA
  • Industry training
    • Tailored in-house training

Industry Training's aim is to improve the financial service industry's knowledge of and ability to comply with its regulatory requirements.

Our courses are designed to be interesting, easy to absorb and value for money. We offer a range of online learning and training courses. All our current training is listed by topic below.

 

Banking Conduct Regime

We have developed two elearning packages giving an overview of the requirements of Banking Conduct of Business and the broader banking conduct regime (including the Principles for Businesses, the interaction of BCOBS and the Payment Services Regulations).

These should not be considered as guidance or advice and should not be relied on as such. You should refer to the FSA Handbook and Payment Services Regulations for the detailed requirements of the Banking Conduct Regime.

The E-learning packages are free to use.

Banking Conduct of Business
Payment Services Regulations

Capital requirements

Firms have to meet their minimum regulatory capital requirement. Our training covers areas such as the importance of compliance, how to make calculations relevant to your firm and how to proceed if you find you have less financial resources than required.

E-learning

Financial resources: Calculating own funds and capital resources

Complaints Handling 2009

Our new 2009 Complaints Handling training, replaces the 2008 version, and is designed to help you understand the requirements around dealing with complaints.

E-learning

Complaints handling

Client money for general insurance intermediaries

Our current training is designed to help you understand the client money section of the FSA Handbook for general insurance intermediaries (CASS 5) and enable you to learn flexibly by selecting the topics that apply to you. It complements the guide to Client Money for General Insurance Intermediaries.

E-Learning

Client money for general insurance intermediaries

Conduct of Business Sourcebook (COBS)

On 1 November 2007, our new more principles-based and simplified Conduct of Business Sourcebook for investment business came into force to replace COB.

E-Learning

• Appropriateness Test
• Best Execution
• Client categorisation
• Overview
• Disclosure of costs and services
• Inducements
• Product Disclosure
• Suitability Requirement
• Financial Promotions

Financial Crime

Financial crime includes any offence involving money laundering, fraud or dishonesty, or market abuse. The reduction of financial crime is one of our four statutory objectives. It is envisaged that our training will form part of a firm's wider training on this important subject and will also be of interest to others working in this area.

E-Learning

Financial crime

Markets in Financial Instruments Directive (MiFID)

MiFID is a major piece of European legislation which is designed to create a single market in financial services. It came into effect on 1 November 2007, replacing the existing Investment Services Directive (ISD).

E-Learning

• An overview
• Senior management arrangements, systems and controls
• Client assets
• Doing business with the FSA
• Markets
• Conflicts of Interest
• Transaction Reporting

Retail Mediation Activities Return (RMAR) and GABRIEL

Our training is relevant to all mortgage and general insurance intermediaries and personal investment firms who are due to submit the RMAR. It is aimed at smaller firms, but is relevant to anyone who has responsibility for collecting and submitting data to the FSA and anyone within a firm who needs to understand what information we will be collecting and why.

E-Learning

Retail mediation activities return (RMAR)

GABRIEL (GAthering Better Regulatory Information ELecronically)

 

 

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