Explore our full library of compliance eLearning courses
This course provides comprehensive training on the Bribery Act 2010 and its implications for organisations and individuals, covering the four main offences, the corporate offence of failure to prevent bribery, the 'adequate procedures' defence, and practical steps for ensuring compliance and recognising the warning signs of bribery in the workplace.
This eLearning course delivers a thorough examination of anti-bribery and corruption laws and their practical application in the workplace. Centred on the Bribery Act 2010, which is among the most far-reaching anti-bribery legislation in the world, the course explains the four key offences: bribing another person, being bribed, bribery of foreign public officials, and the corporate offence of failure to prevent bribery.
The course explores each offence in detail, providing clear definitions and examples that help learners distinguish between legitimate business hospitality and inducements that cross the line into bribery. A particular focus is placed on the corporate offence under Section 7, which holds organisations strictly liable if an associated person commits bribery on their behalf, unless the organisation can demonstrate it had 'adequate procedures' in place to prevent it. The six principles of adequate procedures — proportionality, top-level commitment, risk assessment, due diligence, communication, and monitoring and review — are examined in depth.
Beyond the legal framework, the course addresses the practical steps that organisations and individuals must take to ensure compliance. This includes recognising the warning signs and red flags that may indicate bribery, understanding the importance of gifts and hospitality policies, and knowing how to raise concerns through appropriate channels. Scenario-based learning helps learners apply these principles to realistic situations they may encounter.
By the end of the course, learners will understand their personal and organisational obligations under the Bribery Act, be able to identify potential bribery risks, and know how to act appropriately. The training supports the development of a robust anti-bribery culture and helps protect both individuals and organisations from the severe consequences of non-compliance.
This course provides a thorough grounding in anti-money laundering (AML) regulations as they apply to the financial services sector, covering the legal framework, the three stages of money laundering, customer due diligence requirements, suspicious activity reporting, and the responsibilities of both individuals and firms under FCA supervision. Learners will understand how criminals attempt to legitimise illicit funds and the measures that must be taken to detect and prevent money laundering and terrorist financing.
This comprehensive eLearning course equips financial services professionals with the essential knowledge required to comply with anti-money laundering regulations. The course opens by explaining the fundamental concepts of money laundering, including the three key stages of placement, layering, and integration, and illustrates how criminals exploit financial systems to disguise the origins of illicit funds. Learners will gain a clear understanding of the legal and regulatory framework governing AML in the UK, including the Proceeds of Crime Act 2002, the Money Laundering Regulations 2017, and the Terrorism Act 2000.
The course then examines the practical obligations placed on firms and individuals by the FCA, including the requirement to conduct customer due diligence (CDD) and enhanced due diligence (EDD) in appropriate circumstances. It covers the role of the Money Laundering Reporting Officer (MLRO), the process for making suspicious activity reports (SARs), and the importance of record-keeping and ongoing monitoring. Real-world scenarios help learners apply these principles to situations they may encounter in their day-to-day roles.
Beyond the procedural requirements, the course addresses the broader context of terrorist financing and the specific risks it poses. It highlights the consequences of non-compliance, including criminal prosecution, regulatory sanctions, and reputational damage. The training emphasises that every employee in a regulated firm has a personal responsibility to be vigilant and to act on concerns.
Upon completion, learners will be confident in identifying potential money laundering activity, understanding their reporting obligations, and applying robust AML procedures in their professional practice. The course supports firms in meeting their regulatory obligations and fostering a culture of compliance.
This course delivers a comprehensive overview of anti-money laundering obligations for professionals across all sectors, covering the legal framework, the processes by which money is laundered, customer due diligence, suspicious activity reporting, and the personal responsibilities of employees. It provides the foundational AML knowledge needed to recognise and respond to money laundering risks regardless of industry context.
This eLearning course provides a broad and accessible introduction to anti-money laundering (AML) for professionals working across any sector. It begins by establishing the core concepts, explaining what money laundering is, why it matters, and how criminals use legitimate business systems to disguise the proceeds of crime. The course walks learners through the three recognised stages of money laundering — placement, layering, and integration — using clear examples to illustrate each phase.
The training covers the key legislative framework including the Proceeds of Crime Act 2002, the Money Laundering Regulations 2017, and the Terrorism Act 2000, explaining how these laws create obligations for organisations and individuals. Learners will understand the requirements around customer due diligence (CDD), including when enhanced due diligence is necessary, and the importance of knowing your customer (KYC) procedures.
The course also addresses the practical steps that must be taken when money laundering is suspected, including the role of the Money Laundering Reporting Officer (MLRO) and the process for submitting suspicious activity reports (SARs). It emphasises the concept of tipping off and the legal restrictions on informing subjects of reports. Throughout the course, scenario-based learning helps contextualise the material, ensuring learners can apply their knowledge to real situations.
On completion, learners will have a solid understanding of their AML responsibilities and be equipped to identify, report, and help prevent money laundering within their organisation. The course supports a culture of vigilance and compliance that protects both the individual and the firm.
This course covers anti-money laundering obligations for law firms operating in or with connections to Abu Dhabi, addressing both the international AML framework and the specific regulatory requirements of the Abu Dhabi Global Market (ADGM) and UAE federal law. It provides legal professionals with the knowledge to comply with local and international AML standards.
This eLearning course is designed for law firms and legal professionals with operations or clients in Abu Dhabi, providing comprehensive training on anti-money laundering (AML) compliance within the Abu Dhabi regulatory framework. The course acknowledges the increasing global focus on AML in the Middle East and the specific obligations that arise under UAE federal law and the Abu Dhabi Global Market (ADGM) Financial Services Regulatory Authority.
The course starts with the foundational concepts of money laundering and terrorist financing, explaining the placement, layering, and integration stages, before moving on to the specific legislative and regulatory landscape in Abu Dhabi and the wider UAE. Learners will understand how local regulations align with international standards set by the Financial Action Task Force (FATF) and where specific local requirements differ or add additional obligations.
Practical content covers client due diligence (CDD) and enhanced due diligence (EDD) procedures appropriate to the Abu Dhabi legal market, suspicious activity reporting obligations, and the role of the compliance officer. The course also addresses the specific money laundering risks prevalent in the region, including those associated with complex corporate structures, real estate transactions, and international fund transfers.
Upon completion, legal professionals will be equipped to implement robust AML procedures within their Abu Dhabi practice, understand their reporting obligations, and contribute to their firm's compliance with both local and international AML standards. The training helps mitigate the significant legal, regulatory, and reputational risks associated with non-compliance.
This course addresses anti-money laundering obligations specific to law firms operating in Scotland, covering the distinct Scottish legal framework alongside the UK-wide AML legislation, and providing practical guidance on compliance within the Scottish legal system including the specific requirements of the Law Society of Scotland.
Developed specifically for the Scottish legal market, this eLearning course provides law firms and legal professionals in Scotland with a thorough understanding of their anti-money laundering (AML) obligations within the context of the Scottish legal system. While much of the UK-wide AML legislation applies across all jurisdictions, the course recognises the distinct aspects of Scots law and the specific regulatory expectations of the Law Society of Scotland.
The course opens with the core principles of money laundering, covering the three stages of placement, layering, and integration, before examining the legislative framework including the Proceeds of Crime Act 2002, the Money Laundering Regulations 2017, and the Terrorism Act 2000 as they apply in Scotland. It addresses the specific guidance issued by the Law Society of Scotland and how this translates into practical compliance requirements for Scottish law firms.
Detailed guidance is provided on conducting client due diligence (CDD) and enhanced due diligence (EDD) within a Scottish legal practice, risk-based approaches to client and matter assessment, and the role and responsibilities of the Money Laundering Reporting Officer (MLRO). The course covers suspicious activity reporting procedures, the prohibition on tipping off, and record-keeping requirements, all contextualised for the Scottish legal environment.
On completion, learners will have a comprehensive understanding of their AML obligations within the Scottish jurisdiction and be able to apply effective anti-money laundering procedures in their daily practice. The training supports compliance with both the Law Society of Scotland's requirements and the wider UK regulatory framework.
This course addresses the specific anti-money laundering obligations that apply to law firms and legal professionals regulated by the SRA, covering the legal framework, customer due diligence tailored to legal practice, suspicious activity reporting, and the particular risks faced by the legal sector in being exploited for money laundering purposes.
Designed specifically for the legal sector, this eLearning course provides a thorough examination of anti-money laundering (AML) obligations as they apply to law firms and legal professionals regulated by the Solicitors Regulation Authority (SRA). The course recognises that the legal profession is particularly vulnerable to exploitation by money launderers, who may use legal services to facilitate property transactions, create complex corporate structures, or manage trusts that obscure the ownership of illicit funds.
The course begins by explaining the fundamentals of money laundering — the placement, layering, and integration stages — and then focuses on the specific legislative framework applicable to law firms, including the Proceeds of Crime Act 2002, the Money Laundering Regulations 2017, and the Terrorism Act 2000. It covers the SRA's expectations and how these translate into day-to-day compliance requirements for legal practitioners.
Practical guidance is provided on conducting client due diligence (CDD) and enhanced due diligence (EDD) in a legal context, including risk-based approaches to assessing clients and matters. The course explains the role of the Money Laundering Reporting Officer (MLRO), the procedure for making suspicious activity reports (SARs), and the critical importance of not tipping off clients who may be under suspicion. Scenario-based exercises reflect realistic legal practice situations.
By the end of the course, legal professionals will understand their personal AML obligations, know how to identify and report suspicious activity, and be able to implement effective AML procedures within their practice. The training supports compliance with SRA requirements and helps protect law firms from the significant legal and reputational risks associated with money laundering.
This course covers the FCA's COBS 22.5 requirements for standardised risk warnings in financial promotions, explaining when and how prescribed risk warnings must be displayed, the format and content requirements, and the regulatory obligations for firms communicating with retail clients about high-risk investments.
This eLearning course focuses on the specific requirements of COBS 22.5, which sets out the FCA's rules on standardised risk warnings in financial promotions relating to high-risk investments. The course is designed for financial services professionals who are involved in creating, approving, or distributing financial promotions and communications to retail clients.
The course explains the regulatory context behind COBS 22.5, including the FCA's concerns about consumer harm from inappropriate investments in high-risk products. It covers the types of investments that fall within scope, including contingent convertible instruments, shares in non-mainstream investment vehicles, and qualifying cryptoassets, and explains when a standardised risk warning must be provided.
Practical guidance is provided on the format and content requirements for risk warnings, including the specific wording prescribed by the FCA, the prominence and visibility requirements, and the rules around linking to further information. The course also addresses the obligations around financial promotions more broadly, including the requirement that communications must be fair, clear, and not misleading.
By the end of the course, learners will understand when COBS 22.5 applies, what the specific requirements are for standardised risk warnings, and how to ensure that their firm's financial promotions comply with the rules. The training helps firms avoid regulatory breaches and supports the delivery of clear, compliant communications to consumers.
This course covers the FCA's Client Assets Sourcebook (CASS) requirements, explaining the rules governing the safeguarding, segregation, and management of client money and custody assets, and the obligations on firms to ensure client assets are properly protected at all times.
This eLearning course provides a comprehensive introduction to the FCA's Client Assets Sourcebook (CASS), which sets out the rules and requirements for firms that hold or control client money and safe custody assets. The course is essential for anyone working in a firm that deals with client assets, as failure to comply with CASS can result in significant regulatory consequences and, more importantly, harm to clients.
The course begins by explaining the fundamental principles behind the CASS regime — why client asset protection matters and what the FCA expects of firms. It covers the different CASS classifications (CASS 4, CASS 5, CASS 6, CASS 7 and CASS 8), helping learners understand which rules apply to their firm's activities. Key concepts including client money segregation, the designation of client bank accounts, and the rules around custody assets are explained clearly.
The training addresses the practical obligations that arise under CASS, including record-keeping requirements, reconciliation procedures, and the governance and oversight arrangements that firms must have in place. It also covers the requirements around client money distribution rules and what happens in the event of a firm's failure. The course emphasises the importance of accurate and timely reconciliation, proper authorisation of payments, and the separation of client assets from the firm's own assets.
Upon completion, learners will understand the CASS framework and their firm's obligations, be able to identify potential compliance issues, and appreciate the critical importance of safeguarding client assets. The training supports firms in maintaining the high standards of client asset protection expected by the FCA.
This course covers the FCA's requirements for complaints handling in financial services firms, including the definition of a complaint, the timeframes for acknowledgement and resolution, the role of the Financial Ombudsman Service, and best practice for achieving fair and timely outcomes for complainants.
This eLearning course provides comprehensive training on the regulatory requirements and best practices for handling complaints in financial services firms. Effective complaint handling is not only a regulatory requirement under the FCA's DISP sourcebook but also a critical component of treating customers fairly and maintaining trust in financial services.
The course begins by defining what constitutes a complaint under FCA rules and explains the regulatory framework that governs complaint handling, including the Dispute Resolution Sourcebook (DISP). It covers the specific timeframes that firms must adhere to, including the requirement to send a prompt acknowledgement and to provide a final response within eight weeks. The training explains what must be included in a final response letter and the complainant's right to refer the matter to the Financial Ombudsman Service (FOS).
Beyond the procedural requirements, the course addresses the principles of effective complaint handling, including the importance of empathy, thorough investigation, and fair resolution. It covers root cause analysis and how identifying systemic issues from complaints can drive improvements in products and services. The training also addresses the FCA's expectations around complaint handling culture, including the requirement for senior management to take ownership of complaint outcomes.
Upon completion, learners will understand their firm's complaint handling obligations, be able to follow the correct procedures from receipt to resolution, and appreciate the importance of fair and timely complaint handling. The course supports firms in meeting FCA expectations and delivering positive outcomes for complainants.
This course covers the complaint handling requirements for law firms regulated by the SRA, including the definition of a complaint, the procedures for acknowledgement and resolution, the role of the Legal Ombudsman, and best practice for delivering fair and effective complaint outcomes in legal practice.
This eLearning course is designed specifically for law firms and legal professionals regulated by the Solicitors Regulation Authority (SRA), providing comprehensive training on complaint handling within the legal sector. Effective complaint handling is both a regulatory requirement and a fundamental aspect of maintaining client trust and professional reputation.
The course begins by defining what constitutes a complaint in a legal context and explains the SRA's regulatory expectations around complaint handling, including the requirements set out in the SRA Code of Conduct. It covers the specific procedures that must be followed, including acknowledging complaints promptly, investigating them thoroughly, and providing a substantive response within the required timeframes. The training explains the role of the Legal Ombudsman (LeO) and the circumstances in which clients can escalate their complaint.
The course addresses best practice in complaint handling, including the importance of empathy and objectivity, thorough investigation of the issues raised, and fair and proportionate resolution. It covers common pitfalls in complaint handling and how to avoid them, as well as the importance of learning from complaints to improve service quality. The training also addresses the specific SRA requirements around complaint handling policies and procedures, including the requirement to display details of the firm's complaint procedure.
Upon completion, legal professionals will understand their complaint handling obligations, be able to manage complaints effectively from receipt to resolution, and contribute to a culture of continuous improvement within their firm. The course supports compliance with SRA requirements and helps protect both clients and the firm.
This course addresses appropriate workplace conduct, covering the standards of behaviour expected in a professional environment, the different forms of misconduct including bullying, harassment, and discrimination, the legal protections available to employees, and the responsibilities of both individuals and organisations in fostering a respectful and inclusive workplace.
This eLearning course provides comprehensive training on appropriate conduct in the workplace, addressing the standards of behaviour that all employees are expected to maintain and the consequences when these standards are not met. The course recognises that a respectful and professional workplace is essential for employee wellbeing, organisational effectiveness, and legal compliance.
The course covers the various forms of workplace misconduct, including bullying, harassment (both sexual and non-sexual), discrimination, and victimisation. It explains the legal framework that protects employees, including the Equality Act 2010 and the Protection from Harassment Act 1997, and clarifies the rights and responsibilities of all parties. The training helps learners distinguish between firm management and bullying, between friendly banter and harassment, and between legitimate feedback and victimisation.
Practical guidance is provided on how to recognise inappropriate behaviour, how to respond if you experience or witness misconduct, and how to raise concerns through appropriate channels. The course emphasises that everyone has a role to play in maintaining a positive workplace culture and that bystanders who witness misconduct have a responsibility to act. It also addresses the specific responsibilities of managers and team leaders in modelling appropriate behaviour and addressing concerns promptly.
By the end of the course, learners will understand the standards of conduct expected in the workplace, recognise the different forms of misconduct, and know how to report concerns. The training supports the development of a respectful, inclusive, and legally compliant working environment.
This course covers appropriate workplace conduct within the financial services sector, addressing the FCA's expectations around individual conduct, the different forms of misconduct including bullying and harassment, legal protections, and the specific responsibilities of those working in regulated environments.
This eLearning course provides comprehensive training on appropriate workplace conduct specifically tailored for the financial services sector. The course recognises that conduct in the workplace is not only an employment matter but also has regulatory significance, with the FCA expecting firms to maintain high standards of behaviour and to address misconduct that could affect the integrity of the financial system.
The course covers the various forms of workplace misconduct, including bullying, harassment, discrimination, and victimisation, explaining the legal framework including the Equality Act 2010 and the protections available to employees. It addresses the FCA's expectations around fitness and propriety and how workplace misconduct can have implications for an individual's regulatory status. The training explores the Senior Managers and Certification Regime (SM&CR) and how conduct issues may need to be considered under these rules.
Practical guidance is provided on recognising inappropriate behaviour, whether experienced directly or witnessed as a bystander, and the steps that should be taken to raise concerns. The course covers formal and informal reporting mechanisms, the protections available to whistleblowers, and the importance of creating a culture where concerns can be raised without fear of retaliation. It also addresses the responsibilities of managers in setting the tone and addressing conduct issues promptly.
Upon completion, learners will understand the standards of conduct expected in a financial services environment, recognise the regulatory implications of workplace misconduct, and know how to report concerns appropriately. The training supports firms in meeting their regulatory obligations and fostering a positive and respectful workplace culture.
This course addresses appropriate workplace conduct within law firms, covering the SRA's expectations around professional behaviour, the different forms of misconduct, legal protections for employees, and the specific responsibilities of legal professionals in maintaining a respectful and inclusive working environment.
This eLearning course provides comprehensive training on appropriate workplace conduct specifically designed for law firms and legal professionals regulated by the SRA. The course recognises that conduct in the workplace has particular significance in the legal profession, where the SRA Code of Conduct sets clear expectations around professional behaviour and where misconduct can affect both the individual's practicing status and the firm's reputation.
The course covers the various forms of workplace misconduct — bullying, harassment, discrimination, and victimisation — and explains the legal protections available under the Equality Act 2010 and other legislation. It addresses the SRA's regulatory expectations around professional conduct and how workplace behaviour is relevant to a solicitor's fitness to practice. The training explores the intersection between employment law obligations and professional regulatory requirements.
Practical guidance is provided on recognising inappropriate behaviour, the importance of speaking up when concerns arise, and the channels available for reporting. The course addresses both formal and informal mechanisms for raising concerns, the protections available to those who report misconduct, and the importance of a firm-wide culture where concerns are taken seriously and addressed promptly. It also covers the responsibilities of partners and senior staff in setting the tone and modelling appropriate behaviour.
By the end of the course, legal professionals will understand the standards of conduct expected in a law firm environment, recognise the regulatory and professional implications of workplace misconduct, and know how to raise and respond to concerns. The training supports firms in meeting their SRA obligations and fostering a respectful, professional working culture.
This scenario-based course explores the importance of maintaining confidentiality in professional practice, using practical situations to illustrate the risks of breaching confidentiality, the circumstances under which information may be disclosed, and the responsibilities of employees in safeguarding sensitive client and business information.
This scenario-based eLearning course addresses the critical importance of maintaining confidentiality in professional practice. Through a series of realistic workplace scenarios, learners explore the day-to-day situations where confidentiality can be at risk and the steps that should be taken to protect sensitive information.
The course covers the fundamental principles of confidentiality, including the duty to protect client information, the legal and regulatory frameworks that govern data protection and privacy, and the circumstances under which confidential information may legitimately be disclosed. Each scenario presents a realistic situation where an employee faces a confidentiality dilemma, requiring learners to consider the appropriate course of action and understand the potential consequences of different choices.
The training addresses common risk areas including conversations in public spaces, handling of physical and digital documents, email communication, working remotely, and social media use. It also covers the more complex issues of when confidentiality obligations may conflict with other duties, such as the requirement to report wrongdoing or comply with legal obligations.
Upon completion, learners will have a practical understanding of how to maintain confidentiality in their day-to-day work, recognise situations where confidentiality may be at risk, and know when and how to seek guidance. The scenario-based approach ensures that the learning is directly applicable to real workplace situations.
This course covers the identification and management of conflicts of interest in financial services, addressing the FCA's regulatory requirements, the different types of conflicts that can arise, and the policies and procedures firms must have in place to manage them effectively and protect client interests.
This eLearning course provides comprehensive training on the identification and management of conflicts of interest within financial services firms. Conflicts of interest are an inherent risk in financial services, where firms and individuals may find themselves in situations where their own interests, or the interests of one client, conflict with the interests of another client. The FCA requires firms to identify, manage, and where necessary disclose such conflicts.
The course begins by defining what constitutes a conflict of interest and explores the various types that can arise in financial services, including conflicts between the firm and its clients, between different clients, and between employees' personal interests and their professional duties. The training covers the FCA's specific requirements around conflicts, including the obligation to maintain a conflicts policy, the requirement to manage conflicts fairly, and when disclosure alone is not sufficient.
Practical guidance is provided on how to identify potential conflicts at both the firm and individual level, the importance of maintaining a conflicts register, and the procedures for escalating and managing conflicts when they are identified. The course uses scenario-based examples to illustrate common conflict situations and the appropriate responses, covering areas such as personal account dealing, receipt of gifts and entertainment, and outside business interests.
By the end of the course, learners will be able to identify potential conflicts of interest, understand their firm's obligations under FCA rules, and apply the correct procedures for managing and disclosing conflicts. The training supports firms in maintaining robust conflicts management arrangements and protecting the interests of their clients.
This course covers the identification and management of conflicts of interest in law firms, addressing the SRA's regulatory requirements, the different types of conflicts that arise in legal practice, and the policies and procedures firms must implement to manage conflicts effectively and protect client interests.
This eLearning course provides comprehensive training on the identification and management of conflicts of interest within law firms. Conflicts of interest represent one of the most significant risks in legal practice, as they can compromise the duty of undivided loyalty that a solicitor owes to their client. The SRA Code of Conduct sets clear requirements around conflicts management, and failure to comply can have serious regulatory and professional consequences.
The course begins by defining what constitutes a conflict of interest in a legal context, exploring the various types that can arise including own-interest conflicts, client-client conflicts, and conflicts arising from previous representations. The training covers the SRA's specific requirements, including the obligation to identify and assess potential conflicts before accepting instructions, the circumstances in which representation can continue with informed consent, and the situations where a conflict is so acute that the firm must cease acting.
Practical guidance is provided on the procedures that law firms should have in place for identifying and managing conflicts, including the use of conflict checks, the maintenance of a central database, and the role of the compliance officer for legal practice (COLP). The course uses realistic scenarios to illustrate common conflict situations that arise in legal practice, covering areas such as acting for multiple parties, personal relationships with opposing parties, and the movement of fee earners between firms.
Upon completion, legal professionals will be able to identify potential conflicts of interest, understand their obligations under SRA rules, and apply the correct procedures for managing conflicts in practice. The training supports law firms in maintaining robust conflicts management arrangements and upholding their professional duties to clients.
This course covers the FCA's Consumer Duty requirements, explaining the Consumer Principle, the four outcome areas (products and services, price and value, consumer understanding, and consumer support), the cross-cutting rules, and the obligations on firms to deliver good outcomes for retail customers throughout the product lifecycle.
This eLearning course provides comprehensive training on the FCA's Consumer Duty, which represents a significant shift in the regulatory expectations for firms serving retail customers. The Consumer Duty requires firms to act to deliver good outcomes for customers, setting a higher and more prescriptive standard than the previous Treating Customers Fairly principles.
The course begins by explaining the Consumer Principle — that firms must act in good faith towards retail customers, avoid causing foreseeable harm, and enable and support customers to pursue their financial objectives. It then examines the four outcome areas in detail: products and services (ensuring products are fit for purpose and distributed appropriately), price and value (ensuring the total price is reasonable relative to the benefits), consumer understanding (ensuring communications support customer understanding), and consumer support (ensuring customers can access the support they need throughout the product life).
The training covers the cross-cutting rules that apply across all four outcomes, including the requirement to act in good faith, avoid foreseeable harm, and enable and support customers. It addresses the governance and accountability arrangements that firms must put in place, including the role of the board and senior management in overseeing consumer outcomes, and the requirement to monitor and evidence the outcomes customers are actually experiencing.
The course also addresses the specific requirements around vulnerable customers, recognising that the characteristics of vulnerability can affect a customer's ability to engage with financial services and that firms must take extra care to ensure these customers receive fair outcomes. Upon completion, learners will understand their obligations under the Consumer Duty and be equipped to implement the requirements in their day-to-day roles.
This course covers the Criminal Finances Act 2017 and its corporate offences of failure to prevent the facilitation of UK and foreign tax evasion, explaining the reasonable procedures defence, the guiding principles for prevention, and the practical steps organisations must take to protect themselves from criminal liability.
This eLearning course provides comprehensive training on the Criminal Finances Act 2017, focusing on the corporate offences that were introduced to tackle tax evasion facilitation. The Act created two new offences that hold organisations criminally liable if they fail to prevent their employees, agents, or other associated persons from facilitating tax evasion, unless they can demonstrate they had reasonable prevention procedures in place.
The course explains both offences in detail: the domestic offence of failure to prevent the facilitation of UK tax evasion, and the overseas offence of failure to prevent the facilitation of foreign tax evasion. For each offence, the training covers the three elements that must be proven: the underlying tax evasion by a taxpayer, the facilitation of that evasion by an associated person, and the organisation's failure to prevent that facilitation.
The training provides detailed guidance on the 'reasonable procedures' defence, including the six guiding principles: risk assessment, proportionality of procedures, due diligence on associated persons, communication and training, monitoring and review, and top-level commitment. Each principle is explained with practical examples of how it can be implemented within an organisation.
The course addresses the penalties for non-compliance, including unlimited fines and confiscation orders, and the wider consequences including reputational damage and regulatory implications. It also covers the practical steps that organisations should take to assess their risk, develop appropriate policies, train their staff, and monitor their effectiveness. Upon completion, learners will understand the offences and be able to contribute to their organisation's compliance efforts.
This course focuses on practical cyber security awareness for the workplace, covering the specific threats that employees encounter in their day-to-day work including phishing, social engineering, and data handling risks, and providing actionable guidance on how to maintain security while carrying out routine tasks.
This eLearning course focuses specifically on the cyber security threats and best practices that are relevant to employees in their day-to-day work. Rather than covering cyber security in abstract terms, the course addresses the real situations that employees encounter, providing practical and actionable guidance on how to stay secure while carrying out their normal duties.
The course begins by examining the impact of cyber crime on businesses and individuals, including the financial costs, reputational damage, and regulatory consequences that can result from a security breach. It then covers the most common threats that employees are likely to encounter in the workplace, including phishing emails, suspicious links and attachments, social engineering attempts, and the risks associated with weak passwords and shared credentials.
Practical advice is provided on maintaining security across all areas of work activity. This includes secure email practice, safe internet browsing, the appropriate use of USB drives and other removable media, and the importance of locking devices when unattended. The course covers the specific risks associated with mobile and remote working, including the use of public Wi-Fi and the security of devices outside the office environment.
The training also addresses the importance of reporting suspected security incidents promptly, explaining the potential consequences of delaying or failing to report. It covers the procedure for escalating concerns and the information that should be provided. Upon completion, learners will understand the cyber threats they face at work and be able to apply security best practices consistently in their daily activities.
This course provides comprehensive cyber and information security awareness training, covering the threat landscape, attack methods, data protection, incident response, and best practices for maintaining security across all areas of professional activity, including remote working and the use of personal devices.
This eLearning course provides comprehensive training on cyber and information security, designed to give professionals a thorough understanding of the threats they face and the measures they must take to protect information assets. In an era of increasing digital connectivity and sophisticated cyber threats, information security is a critical concern for every organisation and every employee.
The course covers the full spectrum of cyber and information security topics, beginning with an overview of the threat landscape including the types of threat actors — from state-sponsored groups to opportunistic criminals — and their methods of attack. It explains social engineering techniques in depth, including phishing, spear phishing, vishing, and pretexting, and provides practical advice on how to identify and resist these attacks.
The training addresses the principles of information security — confidentiality, integrity, and availability — and how these apply to the handling of data in professional environments. It covers data classification, secure data handling procedures, encryption, and the specific requirements around personal data under GDPR. Practical guidance is provided on password management, multi-factor authentication, secure communication, and the risks associated with social media and online activity.
The course also covers physical security, mobile device security, and the particular risks associated with remote and hybrid working. It addresses incident response procedures and the importance of timely reporting, as well as the regulatory obligations around data breach notification. Upon completion, learners will have a comprehensive understanding of cyber and information security principles and practices, and be equipped to play their part in protecting their organisation's information assets.
This course provides comprehensive training on diversity, equality, and inclusion in the workplace, covering the legal framework including the Equality Act 2010, the protected characteristics, different types of discrimination, unconscious bias, and practical steps for creating and maintaining an inclusive working environment.
This eLearning course provides comprehensive training on diversity, equality, and inclusion (DEI), addressing both the legal framework and the practical steps that individuals and organisations must take to create an inclusive workplace. The course recognises that creating a genuinely diverse and inclusive environment goes beyond legal compliance — it requires a cultural shift in how we think about, interact with, and value the people we work with.
The course begins by explaining the core concepts of diversity, equality, and inclusion, distinguishing between them and explaining why each is important. It covers the legal framework in detail, focusing on the Equality Act 2010 and the nine protected characteristics: age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, and sexual orientation. The training explains the different types of discrimination that are prohibited, including direct and indirect discrimination, harassment, and victimisation.
Beyond the legal requirements, the course addresses unconscious bias — the automatic judgements and assumptions we all make about people based on their characteristics — and the impact this can have on decision-making in recruitment, promotion, and day-to-day interactions. Practical strategies are provided for recognising and mitigating unconscious bias, and for making more objective and fair decisions.
The training also covers the business case for diversity and inclusion, including the evidence that diverse teams are more innovative, make better decisions, and achieve better outcomes. It provides practical guidance on inclusive language, inclusive leadership, and the steps that individuals can take to be allies and advocates for inclusion. Upon completion, learners will understand their legal obligations, recognise the value of diversity and inclusion, and be equipped to contribute to a more inclusive workplace culture.
This course covers equality and diversity in the workplace, addressing the Equality Act 2010, the protected characteristics, types of discrimination, and the responsibilities of employees and employers in promoting equality and valuing diversity. Note: This is an older version of the course.
This eLearning course addresses equality and diversity in the workplace, providing training on the legal framework and practical steps that organisations and individuals must take to prevent discrimination and promote a culture of equality. The course covers the Equality Act 2010 and the protected characteristics, and explains the different forms of discrimination including direct discrimination, indirect discrimination, harassment, and victimisation.
The training explores what discrimination looks like in practice, using examples and scenarios to illustrate how it can manifest in the workplace. It covers the responsibilities of both employers and employees under the Act, including the duty to make reasonable adjustments for disabled employees and the obligation not to discriminate in recruitment, promotion, or terms and conditions of employment.
The course also addresses the positive steps that organisations can take to promote equality and diversity, including the development of equality policies, the provision of training, and the monitoring of diversity metrics. It explains the concept of positive action and the circumstances in which it is permitted under the Act.
Please note: This is an older version of the course and has been superseded by the Diversity, Equality and Inclusion (CUSTOM) course, which provides more comprehensive and up-to-date coverage of these topics.
This course provides an overview of the Financial Conduct Authority, covering its statutory objectives, regulatory approach and powers, the structure of the FCA Handbook, and the expectations it places on regulated firms and individuals, equipping learners with a fundamental understanding of the UK financial regulatory landscape.
This eLearning course provides a comprehensive overview of the Financial Conduct Authority (FCA), the UK's principal financial services regulator. The course is designed for anyone working in or with the financial services sector who needs to understand the FCA's role, objectives, and approach to regulation, and the obligations it places on regulated firms and individuals.
The course begins by explaining the FCA's statutory objectives: protecting consumers, protecting and enhancing the integrity of the UK financial system, and promoting effective competition in the interests of consumers. It covers how these objectives are pursued through the FCA's regulatory framework, including its approach to authorisation, supervision, and enforcement. The training explains the FCA's risk-based approach to supervision and its focus on the outcomes that firms deliver for consumers and markets.
The training provides an overview of the FCA Handbook, including the key sourcebooks that firms must comply with, such as the Principles for Businesses, the Senior Managers and Certification Regime (SM&CR), and the Conduct of Business Sourcebook (COBS). It explains the FCA's expectations around governance and culture, including the importance of senior management accountability and the requirement for firms to have appropriate systems and controls.
The course also covers the FCA's enforcement powers, including the circumstances in which the FCA may take action against firms and individuals, the types of sanctions available, and the process for regulatory investigations. Upon completion, learners will have a solid understanding of the FCA's role and their obligations as regulated persons, providing a foundation for further compliance training.
This course covers the regulatory framework governing financial promotions, including the FCA's requirement that all communications must be fair, clear, and not misleading, the approval process, the specific rules for different types of promotions, and the consequences of non-compliance.
This eLearning course provides comprehensive training on the regulatory requirements governing financial promotions, which are a key area of FCA supervision. Financial promotions — any communication that constitutes an invitation or inducement to engage in financial activity — are subject to specific rules designed to ensure consumers receive accurate and balanced information.
The course begins by defining what constitutes a financial promotion and explaining the scope of the FCA's rules, which apply to communications made by authorised firms and to communications approved by authorised firms on behalf of unauthorised persons. It covers the fundamental principle that all financial promotions must be fair, clear, and not misleading, and explains how this principle is applied in practice.
The training addresses the specific content requirements for financial promotions, including the requirement to include appropriate risk warnings, the rules around past performance references, and the requirements for prominence of key information. It covers the approval process for financial promotions, including the requirement that promotions must be approved by an authorised person before they are issued, and the record-keeping obligations that apply.
The course also covers the rules specific to different types of financial promotions, including those relating to mortgages, insurance, and investments, and the requirements around promotions directed at particular groups such as retail clients and high net worth individuals. Upon completion, learners will understand the regulatory framework for financial promotions and be able to ensure their firm's communications comply with FCA requirements.
This course covers the specific financial promotions requirements under the FCA's Consumer Credit sourcebook (CONC), including the rules on representative APR, risk warnings, the format and content of credit promotions, and the obligations specific to firms offering consumer credit products.
This eLearning course provides detailed training on the financial promotions requirements that apply specifically to consumer credit, as set out in the FCA's Consumer Credit sourcebook (CONC). Consumer credit promotions are subject to additional rules beyond the general financial promotions requirements, reflecting the particular risks that credit products pose to consumers and the potential for harm if promotions are misleading or inadequate.
The course begins by explaining the regulatory framework for consumer credit promotions, including how CONC supplements the broader financial promotions rules in COBS. It covers the specific requirements around the disclosure of credit information, including the requirement to include a representative APR in credit advertising, the rules on how interest rates and credit charges must be presented, and the requirement for standard risk warnings.
The training addresses the rules around specific types of credit promotion, including those for credit cards, personal loans, hire purchase agreements, and peer-to-peer lending. It covers the requirements around prominence — ensuring that key information is not obscured by other content — and the rules around the use of examples and comparisons in credit promotions.
The course also covers the approval and sign-off process for consumer credit promotions, the record-keeping obligations, and the consequences of non-compliance, including FCA enforcement action and the requirement to withdraw or amend non-compliant promotions. Upon completion, learners will understand the CONC financial promotions requirements and be able to ensure that their consumer credit promotions comply with the rules.
This course provides comprehensive fire safety training for UK workplaces, covering fire prevention, the fire triangle, common causes of workplace fires, the different types of fire extinguishers and their use, evacuation procedures, and the legal requirements for fire safety management under the Regulatory Reform (Fire Safety) Order 2005.
This eLearning course provides comprehensive fire safety training for anyone working in a UK workplace. Fire safety is a legal requirement and a critical aspect of workplace safety, with every employee having a role to play in preventing fires and knowing how to respond if a fire occurs. The course is designed to meet the requirements of the Regulatory Reform (Fire Safety) Order 2005, which places duties on employers to ensure their employees receive appropriate fire safety training.
The course begins by explaining the science of fire, including the fire triangle of heat, fuel, and oxygen, and how understanding these elements helps in fire prevention. It covers the common causes of workplace fires, including electrical faults, arson, cooking equipment, and the improper storage of flammable materials, and provides practical advice on how to reduce the risk of fire in each area.
The training provides detailed guidance on the different types of fire extinguishers — water, foam, CO2, dry powder, and wet chemical — and explains which type is appropriate for different classes of fire. It addresses the importance of fire risk assessments, the role of the responsible person, and the requirement for fire safety arrangements including emergency plans, fire drills, and the maintenance of fire safety equipment. The course also covers the specific requirements around fire doors, fire alarms, emergency lighting, and escape routes.
The course provides clear guidance on evacuation procedures, including the importance of knowing your escape routes, the procedure for raising the alarm, the role of fire wardens, and the requirement not to re-enter the building until it is safe to do so. Upon completion, learners will understand fire prevention, know how to respond in a fire emergency, and be aware of their responsibilities under fire safety legislation.
This course provides an overview of fraud awareness, covering what constitutes fraud, the different types of fraud, the warning signs and red flags, the legal framework including the Fraud Act 2006, and the steps employees should take to prevent and report suspected fraudulent activity.
This eLearning course provides essential training on fraud awareness, equipping employees with the knowledge to recognise, prevent, and report fraudulent activity. Fraud is a significant risk for all organisations, and every employee has a role to play in protecting their organisation from both internal and external fraud threats.
The course begins by defining what constitutes fraud and explaining the different types, including asset misappropriation, financial statement fraud, procurement fraud, and expense fraud. It covers the Fraud Act 2006 and the three offences under the Act: fraud by false representation, fraud by failing to disclose information, and fraud by abuse of position. The training uses real-world examples to illustrate each type and its impact on organisations and individuals.
The training addresses the warning signs and red flags that may indicate fraudulent activity, including unusual transactions, discrepancies in records, reluctance to take leave, and lifestyle inconsistencies. It explains the concept of the fraud triangle — opportunity, pressure, and rationalisation — and how understanding these factors can help in prevention.
Practical guidance is provided on fraud prevention measures, including the importance of strong internal controls, segregation of duties, and a culture of transparency and accountability. The course covers the reporting process, including the channels available for reporting concerns, the protections available to those who report fraud, and the importance of acting promptly. Upon completion, learners will understand what fraud is, be able to recognise the warning signs, and know how to report their concerns.
This course covers fraud awareness specifically for financial services firms, addressing the types of fraud prevalent in the sector, the FCA's expectations around fraud prevention, the warning signs of both internal and external fraud, and the reporting and prevention measures required in a regulated environment.
This eLearning course provides comprehensive fraud awareness training specifically designed for the financial services sector. Fraud represents a particularly significant risk in financial services, where the large volumes of transactions, the complexity of financial products, and the access to client funds create opportunities for both internal and external fraud. The FCA expects firms to have robust systems and controls to prevent, detect, and report fraud.
The course begins by examining the types of fraud most prevalent in financial services, including internal fraud by employees (such as theft of client funds, unauthorised trading, and expense fraud), external fraud against the firm (such as identity fraud, application fraud, and cyber-enabled fraud), and fraud against clients (such as investment scams and mis-selling). It covers the Fraud Act 2006 and its three offences, with examples tailored to financial services scenarios.
The training addresses the specific red flags and warning signs that are relevant in a financial services context, including unusual trading patterns, unexplained account activity, client complaints about unauthorised transactions, and employees living beyond their means. It explains the FCA's expectations around fraud risk management, including the requirement for firms to assess their fraud risks, implement proportionate controls, and maintain effective monitoring systems.
The course covers the practical steps that individuals and firms must take when fraud is suspected, including the reporting requirements, the preservation of evidence, and the regulatory notification obligations. It also addresses the FCA's expectations around fraud reporting under the Principle 11 obligation to notify the FCA of material developments. Upon completion, learners will understand the fraud risks in financial services and be equipped to play their part in prevention and detection.
This course covers fraud awareness specifically for law firms, addressing the types of fraud that threaten legal practices, the SRA's expectations around fraud prevention, the warning signs of fraud, and the measures that legal professionals should take to prevent and report suspected fraud.
This eLearning course provides comprehensive fraud awareness training specifically designed for law firms and legal professionals. Fraud is a significant risk in the legal sector, where the handling of client money, the management of property transactions, and the creation of legal structures create opportunities for exploitation by both internal and external actors. The SRA expects law firms to have effective systems and controls to prevent and detect fraud.
The course begins by examining the types of fraud that are most relevant to legal practice, including mortgage fraud, property fraud, identity fraud, and the misuse of client accounts. It also covers internal fraud risks, such as theft from client accounts, falsification of time records, and expense fraud. The training covers the Fraud Act 2006, with examples drawn from legal practice to illustrate each offence.
The training addresses the specific warning signs and red flags that legal professionals should be aware of, including unusual instructions from clients, requests to circumvent normal procedures, discrepancies in documentation, and pressure to complete transactions quickly. It explains the SRA's expectations around fraud risk management, including the requirement for firms to assess their fraud risks, implement appropriate controls, and maintain effective supervision of client matters.
The course covers the practical steps that should be taken when fraud is suspected, including the reporting requirements to the SRA, the obligation to preserve evidence, and the need to protect client interests. It also addresses the obligations around Suspicious Activity Reports (SARs) under the Proceeds of Crime Act 2002. Upon completion, legal professionals will understand the fraud risks facing their practice and be equipped to contribute to effective fraud prevention and detection.
This course provides comprehensive training on the UK GDPR and Data Protection Act 2018, covering the key principles of data protection, the rights of individuals, the lawful bases for processing personal data, data breach notification requirements, and the practical obligations on organisations that process personal data.
This eLearning course provides comprehensive training on the General Data Protection Regulation (GDPR) as it applies in the UK through the UK GDPR and the Data Protection Act 2018. The GDPR represents a significant strengthening of data protection law, imposing substantial obligations on organisations that process personal data and granting enhanced rights to individuals. Every employee who handles personal data needs to understand their responsibilities under the legislation.
The course begins by explaining the key concepts of data protection, including the definition of personal data, special category data, data controllers, and data processors. It covers the seven principles of data protection — lawfulness, fairness and transparency; purpose limitation; data minimisation; accuracy; storage limitation; integrity and confidentiality; and accountability — and explains how these principles apply in practice.
The training addresses the rights of individuals under GDPR, including the right of access, the right to rectification, the right to erasure, the right to restrict processing, the right to data portability, and the right to object. It covers the lawful bases for processing personal data, including consent, legitimate interests, and contractual necessity, and explains when each is appropriate. The course also covers the specific requirements around data breach notification, including the obligation to notify the Information Commissioner's Office within 72 hours of becoming aware of a breach that poses a risk to individuals.
The course provides practical guidance on complying with GDPR in day-to-day work, including data handling best practices, the importance of privacy by design, and the requirement to conduct data protection impact assessments for high-risk processing activities. Upon completion, learners will understand their obligations under GDPR and be able to handle personal data in compliance with the law.
This course provides a comprehensive introduction to cyber security, covering the current threat landscape, common attack methods including phishing and social engineering, password security, data protection best practices, and the procedures for responding to suspected security breaches.
This eLearning course provides a thorough introduction to cyber security, equipping professionals with the knowledge and awareness needed to protect themselves and their organisations from the growing range of cyber threats. As cyber attacks become increasingly sophisticated and frequent, every employee — regardless of their technical expertise — plays a critical role in maintaining the security of information and systems.
The course begins by outlining the current cyber threat landscape, explaining who the threat actors are, what motivates them, and the methods they use to gain unauthorised access to systems and data. It covers the most common attack vectors including phishing emails, social engineering, malware, ransomware, and man-in-the-middle attacks, using real-world examples to illustrate each threat and its potential impact.
Practical guidance is provided on the steps that individuals can take to protect themselves and their organisations. This includes password security and the importance of multi-factor authentication, safe browsing and email practices, the secure handling of sensitive data, and the risks associated with removable media and personal devices. The course also covers the specific threats posed by working remotely, including the use of public Wi-Fi and the security of home networks.
The training addresses the procedures that should be followed in the event of a suspected security breach, including who to report to, the information that should be provided, and the importance of acting quickly. It also covers the regulatory context, including data breach notification requirements under GDPR. Upon completion, learners will understand the main cyber threats, be able to apply security best practices in their daily work, and know how to respond to a suspected breach.
This course covers management review controls, explaining their purpose and importance in the governance and compliance framework, the key components of an effective review process, the design and implementation of appropriate controls, and the regulatory expectations for management oversight and accountability.
This eLearning course provides comprehensive training on management review controls, which are a critical component of an organisation's governance and compliance framework. Management review controls are the processes by which senior management reviews and challenges the activities and decisions within their areas of responsibility, ensuring that risks are properly managed, policies are followed, and the organisation operates within its regulatory obligations.
The course begins by explaining what management review controls are and why they matter. It covers the different types of review controls, including periodic reviews of management information, approval processes for significant transactions and decisions, and the challenge and scrutiny that management should apply to the information presented to them. The training explains how management review controls fit within the broader framework of internal controls and governance.
The training addresses the design and implementation of effective management review controls, including the importance of clear escalation procedures, the documentation of review activities, and the need for management to demonstrate that they have genuinely challenged the information presented rather than simply rubber-stamping decisions. It covers the common weaknesses in management review controls, including reliance on incomplete information, failure to ask probing questions, and inadequate follow-up on identified issues.
The course also addresses the regulatory expectations around management review, including the FCA's expectations under the Senior Managers and Certification Regime (SM&CR) and the principle that senior management are accountable for the activities within their areas of responsibility. Upon completion, learners will understand the importance of management review controls and be able to implement and maintain effective review processes within their organisation.
This course covers the Market Abuse Regulation (MAR), explaining the different types of market abuse including insider dealing, unlawful disclosure, and market manipulation, the obligations for suspicious transaction reporting, the requirements around insider lists, and the penalties for committing or facilitating market abuse.
This eLearning course provides comprehensive training on the Market Abuse Regulation (MAR), which is designed to detect, prevent, and punish market abuse in financial markets. Market abuse undermines market integrity and investor confidence, and the regulatory framework imposes significant obligations on firms and individuals to prevent and report it.
The course begins by explaining the three main categories of market abuse: insider dealing, unlawful disclosure of inside information, and market manipulation. For each category, the training provides clear definitions, practical examples, and an explanation of the legal tests that apply. Insider dealing is explained as the use of inside information to deal in financial instruments or to cancel or amend orders. Unlawful disclosure covers the unauthorised sharing of inside information. Market manipulation includes both transaction-based manipulation and the dissemination of false or misleading information.
The training addresses the obligations that MAR places on firms and individuals, including the requirement to establish and maintain effective arrangements to detect and report suspected market abuse. It covers the suspicious transaction and order report (STOR) obligation, explaining when a report must be made, the process for making a report, and the protections available to those who report. The course also covers the requirements around insider lists, personal account dealing, and the disclosure of inside information under the market soundings regime.
The course explains the penalties for market abuse, which can include unlimited fines, imprisonment, and public censure, and the enforcement powers of both the FCA and the market abuse regime. Upon completion, learners will understand what constitutes market abuse, their obligations under MAR, and how to identify and report suspicious activity.
This course raises awareness of mental health in the workplace, covering what mental health means, the signs and symptoms of common mental health conditions, how to start conversations about mental health, the legal protections for employees, and the support and resources available for those experiencing mental health difficulties.
This eLearning course is designed to raise awareness and understanding of mental health in the workplace. Mental health is as important as physical health, yet it is often overlooked or stigmatised, preventing people from seeking the support they need. This course aims to break down the stigma, equip learners with the knowledge to recognise mental health issues, and provide practical guidance on how to support themselves and their colleagues.
The course begins by explaining what mental health is and the spectrum from good mental health to mental illness. It covers the most common mental health conditions that people may experience in the workplace, including anxiety, depression, stress, and burnout, and explains the signs and symptoms that may indicate a colleague is struggling. The training emphasises that mental health exists on a continuum and can change over time, and that experiencing a mental health problem does not mean someone cannot continue to work effectively with the right support.
The training addresses the legal framework protecting employees with mental health conditions, including the Equality Act 2010, which requires employers to make reasonable adjustments for employees whose mental health condition amounts to a disability. It covers the employer's duty of care and the importance of risk assessments that take account of work-related stress and mental health risks.
Practical guidance is provided on how to start a conversation about mental health with a colleague, the importance of listening without judgement, and the sources of support available both inside and outside the workplace. The course also covers self-care strategies and the steps individuals can take to protect their own mental wellbeing. Upon completion, learners will have a better understanding of mental health, be more confident in recognising when someone may need support, and know how to access help for themselves and others.
This course covers modern slavery in its various forms including human trafficking, forced labour, and domestic servitude, explaining the requirements of the Modern Slavery Act 2015, how to recognise the signs of modern slavery in supply chains, and the obligations on organisations to publish slavery and human trafficking statements and to take steps to ensure slavery is not taking place in their business or supply chains.
This eLearning course provides comprehensive training on modern slavery, which encompasses human trafficking, forced labour, debt bondage, and domestic servitude. Modern slavery is a global issue affecting millions of people, and organisations have both a moral and legal obligation to ensure that their operations and supply chains are free from slavery and exploitation. The Modern Slavery Act 2015 was introduced to combat these practices and places specific obligations on organisations.
The course begins by explaining what modern slavery is and the various forms it takes, including human trafficking (the movement of people for exploitation), forced labour (making people work against their will under the threat of punishment), debt bondage (using debt to trap people in exploitation), and domestic servitude (forcing someone to work in a household under exploitative conditions). Each form is illustrated with real-world examples to help learners understand the realities of modern slavery.
The training covers the requirements of the Modern Slavery Act 2015, including the Section 54 requirement for commercial organisations with a turnover of £36 million or more to publish an annual slavery and human trafficking statement. It explains what the statement should include, the steps organisations should take to assess and address the risk of slavery in their business and supply chains, and the growing expectations around the quality and transparency of these statements.
The course also addresses the practical steps that employees can take to recognise the signs of modern slavery, both within their organisation and in their supply chains. It covers the indicators that may suggest someone is being exploited, how to report concerns, and the importance of due diligence in procurement and supplier management. Upon completion, learners will understand the different forms of modern slavery, their organisation's legal obligations, and how to identify and report potential instances of exploitation.
This course covers the SRA Code of Conduct for solicitors and law firms, explaining the key principles and requirements, the regulatory approach of the SRA, the obligations of solicitors and firms, and the consequences of breaching the Code, providing legal professionals with a thorough understanding of their professional responsibilities.
This eLearning course provides comprehensive training on the SRA Code of Conduct, which sets out the standards of professional behaviour expected of solicitors and law firms regulated by the Solicitors Regulation Authority. Understanding and complying with the Code is fundamental to the practice of law, as it defines the professional obligations that underpin the solicitor-client relationship and the public's trust in the legal profession.
The course begins by explaining the structure of the SRA's regulatory framework, including the SRA Principles and the SRA Code of Conduct for Solicitors and the Code for Firms. It covers the seven SRA Principles: upholding the constitutional principle of the rule of law and the proper administration of justice, acting in a way that upholds public trust and confidence in the solicitors' profession and in legal services, acting with independence, acting with integrity, acting in the best interests of each client, acting in a way that encourages equality, diversity, and inclusion, and maintaining the level of competence and legal knowledge needed to practise effectively.
The training addresses each of these principles in detail, providing practical examples of how they apply in day-to-day practice and the common situations where breaches can occur. It covers the specific requirements around client care, including the duty to provide clear information about costs and the scope of work, the duty of confidentiality, and the obligations around conflicts of interest. The course also covers the requirements around financial management, including the proper handling of client money and the accounting rules.
The course explains the SRA's approach to enforcement and the consequences of breaching the Code, including regulatory sanctions such as fines, conditions on practice, suspension, and in the most serious cases, striking off. Upon completion, legal professionals will have a thorough understanding of their obligations under the SRA Code of Conduct and be equipped to maintain the high standards of professional conduct expected by the regulator and the public.
This course covers the FCA's Treating Customers Fairly initiative, explaining the six consumer outcomes that the FCA expects firms to deliver, the principles of fair treatment throughout the product lifecycle, and how TCF applies to the roles and responsibilities of individuals working in financial services.
This eLearning course provides comprehensive training on the FCA's Treating Customers Fairly (TCF) initiative, which has been a cornerstone of the FCA's consumer protection agenda. While the FCA has more recently introduced the Consumer Duty, the principles of TCF remain fundamental to the expectations placed on financial services firms, and this course provides the essential foundation for understanding fair treatment of customers.
The course begins by explaining the background and purpose of TCF, including why the FCA introduced the initiative and the outcomes it was designed to achieve. It covers the six consumer outcomes that the FCA expects firms to deliver: fair treatment is central to the firm's culture, products and services are designed to meet the needs of customers, customers are provided with clear and relevant information, customers receive advice that is suitable for their circumstances, products and services perform as customers have been led to expect, and customers do not face unreasonable post-sale barriers.
The training addresses how TCF applies across the product lifecycle, from design and marketing through to sale and post-sale service. It explains the importance of management information and the need for firms to evidence that they are delivering fair outcomes. The course covers the governance arrangements that firms should have in place, including the role of senior management in setting the culture and overseeing the delivery of fair outcomes.
The course also addresses the relationship between TCF and the newer Consumer Duty, explaining how the principles of TCF have been built upon and strengthened by the Consumer Duty. Upon completion, learners will understand the TCF outcomes and principles and be equipped to apply them in their day-to-day interactions with customers, supporting their firm's commitment to fair treatment.
This course covers the UK sanctions regime as it applies to financial services firms, explaining the legal framework, the different types of sanctions including asset freezes and travel bans, the obligations for firms under UK sanctions legislation, and the practical requirements for sanctions screening, due diligence, and reporting of suspected breaches.
This eLearning course provides comprehensive training on the UK sanctions regime as it applies to financial services firms, updated for 2026. Sanctions are a critical area of compliance for any firm operating in or connected to the UK, and the consequences of breaching sanctions can be severe, including criminal prosecution, unlimited fines, and reputational damage. The course is designed to equip financial services professionals with the knowledge and understanding needed to comply with their sanctions obligations.
The course begins by explaining what sanctions are and the different types that the UK imposes, including comprehensive sanctions targeting specific countries, targeted sanctions against designated individuals and entities, and sectoral sanctions restricting certain types of economic activity. It covers the legal framework, including the Sanctions and Anti-Money Laundering Act 2018 (SAMLA), the regulations made under it, and the role of the Office of Financial Sanctions Implementation (OFSI) in administering and enforcing financial sanctions.
The training addresses the specific obligations that sanctions impose on financial services firms, including the requirement to freeze the assets of designated persons, the prohibition on making funds or economic resources available to designated persons, and the obligation to report to OFSI if you know or suspect that a person is designated or that a sanctions breach has occurred. It covers the practical requirements for sanctions screening of customers, transactions, and counterparties, and the importance of keeping screening lists up to date.
The course also covers the penalties for sanctions breaches, including both civil penalties imposed by OFSI (which can be up to £1 million or 50% of the value of the breach) and criminal penalties which can include imprisonment. It addresses the recent developments in the UK sanctions landscape, including the expansion of the sanctions regime following Russia's invasion of Ukraine. Upon completion, learners will understand their sanctions obligations and be equipped to implement effective sanctions compliance procedures within their firm.
This course covers the UK sanctions regime for law firms with 2026 updates, explaining the current legal framework, the types of sanctions, the obligations for legal professionals, and the practical requirements for sanctions screening, due diligence, and compliance within legal practice.
This eLearning course provides comprehensive training on the UK sanctions regime as it applies to law firms, updated for 2026. The UK sanctions landscape continues to evolve, with new designations and regulatory changes requiring law firms to maintain vigilant compliance procedures. This course equips legal professionals with up-to-date knowledge of their sanctions obligations and the practical steps needed to comply.
The course begins by explaining the current UK sanctions framework, including the Sanctions and Anti-Money Laundering Act 2018 (SAMLA) and the various sanctions regulations made under it. It covers the different types of sanctions in force, including those targeting Russia, Iran, and other jurisdictions, and explains the legal obligations that arise for law firms, including the duty to freeze assets and the prohibition on making funds or economic resources available to designated persons.
The training addresses the specific compliance requirements for law firms, including client and matter screening, due diligence on beneficial owners, and the particular risks in practice areas such as property, corporate, and financial services work. It covers the obligation to report to the Office of Financial Sanctions Implementation (OFSI) and the protections available to those who make reports in good faith. The course also addresses the evolving expectations around enforcement, including recent case law and OFSI guidance.
The course provides practical guidance on implementing and maintaining a sanctions compliance programme, including the use of screening technology, the importance of staff awareness and training, and the governance and oversight arrangements that firms should have in place. It covers the penalties for non-compliance, including the enhanced civil monetary penalties available to OFSI and the criminal sanctions that may apply. Upon completion, legal professionals will understand their current sanctions obligations and be equipped to maintain effective compliance procedures within their practice.
This course explores unconscious bias in the workplace, explaining what it is, the different types of bias that affect decision-making, the impact of bias on recruitment, promotion, and client interactions, and practical strategies for recognising and mitigating unconscious bias to make fairer and more objective decisions.
This eLearning course provides a thorough exploration of unconscious bias — the automatic, often unintentional judgements and assumptions that everyone makes about other people based on their characteristics. Unconscious biases are shaped by our experiences, our environment, and the stereotypes we absorb from the world around us, and they can have a significant impact on the decisions we make in the workplace, often without us even realising it.
The course begins by explaining what unconscious bias is and why it occurs, drawing on the psychological research that underpins our understanding of how the brain uses shortcuts and patterns to process information quickly. It covers the different types of bias that commonly affect workplace decisions, including affinity bias (the tendency to favour people who are similar to ourselves), confirmation bias (seeking information that confirms our existing beliefs), the halo effect (allowing one positive characteristic to influence our overall impression), and groupthink (conforming to the views of the group).
The training addresses the impact that unconscious bias can have across a range of workplace activities, including recruitment and selection, performance management, promotion decisions, and client interactions. It explains how bias can lead to unfair outcomes, limit diversity within organisations, and result in decisions that are not based on objective criteria. The course uses scenarios and examples to illustrate how bias manifests in practice and the consequences it can have.
Practical strategies are provided for recognising and mitigating unconscious bias, including techniques for slowing down decision-making, challenging assumptions, seeking diverse perspectives, and using structured and objective criteria for evaluating people and situations. The course also addresses the importance of creating a culture where bias can be discussed openly and where individuals feel empowered to challenge decisions that may be influenced by bias. Upon completion, learners will understand what unconscious bias is, recognise how it can affect their own decisions, and have practical tools for making fairer and more objective choices.
This course covers the responsible use of artificial intelligence in financial services, addressing the risks and limitations of AI tools, the FCA's expectations around AI governance and oversight, data protection and confidentiality considerations, and the best practices for ensuring AI is used ethically and effectively in regulated environments.
This eLearning course provides comprehensive training on the responsible use of artificial intelligence (AI) within financial services firms. As AI tools become increasingly powerful and widely available, they present both significant opportunities and substantial risks for the financial services sector. The FCA expects firms to use AI in a way that is safe, transparent, and fair, and to have appropriate governance and oversight arrangements in place.
The course begins by explaining what AI is and the different types of AI tools that are relevant to financial services, from large language models and generative AI to machine learning algorithms used in data analysis and decision-making. It covers the potential benefits of AI, including increased efficiency, improved data analysis, and enhanced customer service, while also addressing the significant risks, including the potential for biased or inaccurate outputs, data security concerns, and the risk of over-reliance on AI-generated content.
The training addresses the regulatory expectations around AI use in financial services, including the FCA's principles for AI, the requirements around model risk management, and the obligations under the Senior Managers and Certification Regime (SM&CR) for senior management oversight of AI systems. It covers the data protection and confidentiality considerations that arise when using AI tools, including the risks of inputting client or proprietary data into third-party AI systems, and the GDPR implications of automated decision-making.
Practical guidance is provided on using AI responsibly in day-to-day work, including the importance of always reviewing and validating AI outputs, the need for human oversight and judgement, the documentation of AI use in decision-making processes, and the importance of being transparent with clients about the role of AI. The course also covers the emerging regulatory landscape around AI, including international developments and the likely direction of future regulation. Upon completion, learners will understand the risks and opportunities of AI, their regulatory obligations, and how to use AI tools responsibly and effectively in their professional roles.
This course covers the responsible use of artificial intelligence in law firms, addressing the risks and limitations of AI tools, the SRA's expectations around AI governance, data protection and client confidentiality considerations, and the best practices for ensuring AI is used ethically and effectively in legal practice.
This eLearning course provides comprehensive training on the responsible use of artificial intelligence (AI) within law firms and the legal profession. AI tools are increasingly being adopted in legal practice for tasks such as legal research, document review, contract analysis, and client communications. While these tools offer significant efficiency gains, they also present risks that legal professionals must understand and manage. The SRA expects solicitors to use technology competently and responsibly.
The course begins by explaining the types of AI tools relevant to legal practice, including generative AI, large language models, and specialist legal AI platforms. It covers the potential benefits of AI, including faster research, improved document analysis, and enhanced client service, while addressing the significant risks including the potential for AI to generate inaccurate or fabricated information (hallucinations), the risk of bias in AI outputs, and the danger of over-reliance on AI-generated content without proper verification.
The training addresses the regulatory and professional obligations that arise when using AI in legal practice, including the SRA's expectations around competence, the duty to supervise AI-generated work, and the obligations around confidentiality and data protection when inputting client information into AI systems. It covers the specific risks around using AI for client-facing work, including the potential for AI-generated advice to be incorrect or incomplete, and the importance of always applying professional judgement.
Practical guidance is provided on using AI responsibly, including the importance of validating AI outputs against authoritative sources, maintaining clear documentation of when and how AI has been used, being transparent with clients about the role of AI in the provision of legal services, and ensuring that the use of AI does not compromise the solicitor's professional duties. The course also addresses the emerging regulatory landscape and likely future developments. Upon completion, legal professionals will understand the risks and opportunities of AI, their regulatory obligations, and how to use AI tools responsibly in their practice.
This course covers whistleblowing protections and procedures, explaining the legal framework under the Public Interest Disclosure Act 1998, the types of disclosures that qualify for protection, the internal and external channels for raising concerns, the FCA/SRA requirements for whistleblowing arrangements, and the importance of a speak-up culture in organisations.
This eLearning course provides comprehensive training on whistleblowing, covering the legal protections available to those who raise concerns about wrongdoing in the workplace, the regulatory requirements for firms to have effective whistleblowing arrangements, and the importance of fostering a culture where employees feel safe to speak up. Whistleblowing plays a vital role in exposing misconduct, protecting consumers, and maintaining the integrity of regulated professions.
The course begins by explaining what whistleblowing is and the legal framework that protects whistleblowers, primarily the Public Interest Disclosure Act 1998 (PIDA), which amends the Employment Rights Act 1996. It covers the types of disclosures that qualify for protection, including disclosures about criminal offences, breaches of legal obligation, miscarriages of justice, dangers to health and safety, damage to the environment, and the deliberate concealment of any of these matters. The training explains the conditions that must be met for a disclosure to be protected, including the requirement that it be made in the public interest.
The training addresses the regulatory expectations around whistleblowing, including the FCA's rules requiring regulated firms to establish effective internal whistleblowing arrangements and to appoint a whistleblowers' champion. It covers the SRA's expectations for law firms and the obligations around protecting the confidentiality of whistleblowers. The course explains the different channels available for raising concerns, including internal reporting to a manager or the firm's compliance function, external reporting to the FCA or SRA, and public interest disclosures to prescribed persons or the media in appropriate circumstances.
The course also addresses the protections available to whistleblowers, including protection against dismissal, detriment, and victimisation, and the remedies available if these protections are breached. It emphasises the importance of a speak-up culture where employees feel confident that their concerns will be taken seriously and acted upon, and where they will not suffer retaliation for raising genuine concerns. Upon completion, learners will understand their rights and obligations around whistleblowing, know how to raise concerns appropriately, and appreciate the importance of protecting those who speak up.
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