FCA Compliance Training.
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
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.
- 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)
- Understand why Supervision is necessary
- Understand the three key areas of Supervision
- Understand how to deliver the highest levels of Supervision
- 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
- 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
- Understand how to identify a potentially vulnerable customer
- Understand what steps you and your firm can take to help vulnerable customers
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.
FCA compliance training FAQs
To achieve FCA compliance businesses must implement robust governance structures, risk management processes, and internal controls, while complying with relevant regulations such as SMCR (Senior Managers and Certification Regime), consumer duty and CASS. Regular regulatory reporting, consumer protection measures, and strong anti-money laundering (AML) practices are also crucial.
The need for FCA registration depends on the type of financial services or activities you provide in the UK. In short, if your company is involved in regulated activities such as offering financial advice, insurance, lending, investment management, or operating a payment service, it must be authorised and FCA registered. For a comprehensive list of regulated activities you can check the FCA’s list of regulated activities or seek our advice.
The consequences of non-compliance with FCA rules include heavy fines, penalties, or even losing your FCA authorisation, which would stop you from legally operating in the UK financial services market. In addition, in some cases, individuals, like senior managers, could face personal sanctions or bans.
