fca compliance training.
Build a proactive compliance culture with practical FCA training for employees, managers and senior leaders.
With our FCA compliance training courses, you’re not just avoiding fines and legal penalties—you’re building a culture of accountability that earns your business credibility with clients and regulators. This proactive approach not only protects your business but positions you as a trusted leader in your industry.
Our experts curate courses to ensure your team understands how to respond even in high-pressure situations, making FCA compliance second nature.
EMBED FCA COMPLIANCE INTO THE CORE OF YOUR BUSINESS.
Instead of just focusing on teaching rules, we encourage your team to think critically about compliance in real-world situations. So, whether it’s mastering disclosure requirements for financial products, managing conflicts of interest, or ensuring your firm meets the high standards set around customer communications, we give your employees the confidence to act in line with FCA regulations every day.
Course Overview
Master the rules
Our training is structured into focused modules covering key areas of FCA compliance. Each can be delivered in-person or through the Cosegic online portal, with both options expertly designed to offer an engaging and interactive learning experience.
Course Structure
Complaints Handling
Duration: 30 mins
- Correctly apply the requirements for dispute resolution within your firm
- Understand the differences in procedures between MiFID and non-MiFID business
- Appreciate how complaint handling links with Treating Customers Fairly (TCF)
- Handle complaints correctly within the context of the Financial Ombudsman Service (FOS)
FCA Competence Supervision
Duration: 30 mins
- Understand why Supervision is necessary
- Understand the three key areas of Supervision
- Understand how to deliver the highest levels of Supervision
FCA Regulatory Environment
Duration: 30 mins
- Understand who the regulators are and what they do
- Describe how Firms and the FCA communicate with each other
- Describe what information is held on Firms
- Understand how to find the rules that affect your Firm
- Understand how the FCA expects Firms to be compliant
Treating Customers Fairly
Duration: 45 mins
- Understand the implications of the FCA principle of ‘treating customers fairly’
- Understand why it is so important to your firm
- Describe the different ways in which your firm can evidence it is treating customers fairly
- Understand how your role helps your firm to do this
Vulnerable Customers
Duration: 45 mins
- Understand how to identify a potentially vulnerable customer
- Understand what steps you and your firm can take to help vulnerable customers
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Rule the...
REGULATION
Employees gain a thorough understanding of FCA regulations, including treating customers fairly (TCF), FCA Guidelines for Vulnerable Customers and FCA Complaints Handling Procedures.
RIGHTFUL PATH
By helping employees manage risks and understand their responsibilities under FCA rules, our training fosters a culture of ethical behaviour, including understanding the Consumer Duty.
REAL WORLD
Leveraging their experience in the financial sector and with the FCA, our course leaders use real-life cases and interactive scenarios to help delegates apply regulatory principles to their day-to-day roles.
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FREQUENTLY ASKED QUESTIONS
Find answers to the questions we’re asked most often, from our compliance and training services to how we can support your business.
Why is compliance training important for FCA-regulated firms?
Compliance training is a regulatory expectation for all FCA-regulated firms, ensuring that staff understand their regulatory obligations and are equipped to apply them in their day-to-day roles. Beyond meeting regulatory requirements, effective compliance training embeds a proactive compliance culture across the organisation, reducing the risk of regulatory breaches and strengthening governance.
What compliance training are FCA-regulated firms required to provide?
FCA-regulated firms are required to provide training covering the specific regulatory obligations applicable to their business, including Conduct Rules training under SM&CR, anti-money laundering and financial crime awareness, and training relevant to the products and services the firm offers. Training must be appropriate to each individual's role and responsibilities, and firms must be able to evidence that it has been completed.
What topics should a comprehensive compliance training programme cover?
A comprehensive compliance training programme should cover the regulatory obligations most relevant to the firm's business model and risk profile, including financial crime prevention, FCA rules and conduct standards, GDPR and data protection, Consumer Duty, and any sector-specific requirements such as CASS rules or SEC reporting obligations. Training should be regularly updated to reflect regulatory change and emerging risks.
What is the difference between online and in-person compliance training?
Online compliance training offers flexibility and scalability, allowing firms to deliver consistent training to large numbers of staff across multiple locations at their own pace. In-person training provides a more dynamic, interactive learning environment that can be particularly effective for complex topics or where firms want to embed cultural change. Many firms benefit from a blended approach that combines both formats.
How can Cosegic's compliance training programmes benefit our organisation?
Cosegic's expert-led compliance training programmes are designed to go beyond regulatory tick-boxing, embedding a proactive compliance mindset across your organisation. From financial crime prevention and FCA conduct standards to GDPR and Consumer Duty, our interactive training modules tackle real-world scenarios and equip your teams with the knowledge and confidence to navigate complex regulations effectively in their day-to-day roles.