Compliance Training is an important part of a firm’s systems and controls, but it can be difficult to ensure your staff are fully engaged. We offer a compliance introduction training including the regulators, key principles of regulation, certain common rules/requirements, and what compliance in a company means. 

 

We deliver training session on a single, quarterly, or bi-annual basis. Each training session is conducted by an experienced member of our team and the participants are encouraged to engage and ask questions.

 

We offer training in the following key areas: 

 

- Regulated Financial Advice

- Data Protection

- Anti-Money Laundering 

- Financial Promotions 

- Market Abuse and Anti Bribery

- GDPR

- CASS (Client Assets & Money)

- Conduct Rules

- Vulnerable Customers 

- Complaints Handling and Conduct Rules (SMCR)

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The above list is not exhaustive and we can cater to your individual firm's needs.

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