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Introduction to Securities & Investment - CISI

Learning Styles
In-House eLearning

Learning Outcomes

On completion of this module, you will:

  • Know what compliance means
  • Know the sources of the regulations
  • Be able to link compliance to professionalism, profitability, longevity, reputation, success
  • Understand who is responsible for compliance
  • Understand the impact of non-compliance
  • Know the key concepts that the laws and regulations address
  • Know what to do in the event of any concerns or suspicions

Delivery

Our interactive learning is delivered online, so all you need is an internet-connected device – we’ll do the rest.

We handle every part of the set-up process, from customising your individual Learning Management System (LMS), loading staff data, setting up a deployment and reminder schedule and reporting on progress.

In addition, administrators can also have access to all of these tools too, giving you the flexibility to be involved as much or as little as you prefer.

eLearning Previews

See examples taken from a range of our eLearning courses in the gallery below.

Anti Money Laundering
Anti Money Laundering (2)
Consumer Duty
Consumer Duty (3)
Consumer Duty (2)
ESG
ESG (2)
Conduct Rules
Fraud
Fraud (2)
Fraud (3)
Fraud (4)
Anti Bribery And Corruption
Market Abuse
Market Abuse (2)
Vulnerable Customers

Get in touch to book a demonstration or to request a quote

4.13 Compliance
Introduction to Securities & Investment - CISI
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Duration
2 Days
location
Delivery
In-House
Request a quote

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