Rules & Regulations

Whether you require in-depth training on a particular rule or regulation, an awareness-based course for the whole firm, or a briefing for your Senior Management/Board we can help.

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Rules & Regulations

Best Execution Workshop

Client Assets Workshop

Client Categorisation Workshop

Client Money and Assets (CASS) - CISI

Introduction to Complaints Handling

SM&CR Conduct Rules

Conflicts of Interest eLearning

Conflicts of Interest Workshop

Consumer Duty eLearning

Consumer Duty for Front & Back Office

Consumer Duty Senior Management Briefing

Consumer Duty Workshop for the Project Team

Data Protection Awareness

Data Protection Awareness

Facilitation of Tax Evasion eLearning

Financial Promotions Workshop

How to be an Effective Consumer Duty Champion

Introduction to CASS eLearning

Introduction to Complaints Handling

Introduction to FCA Regulation & the Conduct Rules

Introduction to TCF and Culture

Market Abuse - eLearning

Market Abuse - eLearning

Market Abuse Workshop

Overview of the Conduct of Business Rules

Regulator Interview Coaching

Senior Management Responsibilities & the SM&CR

SM&CR Conduct Rules

SMF Regulatory Briefing Programme 2024

Introduction to TCF and Culture

Whistleblowing Awareness

Whistleblowing Awareness

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