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TRAINING, WORKSHOPS AND BRIEFINGS

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​We train, workshop or brief boards, directors, senior managers, compliance officers, auditors, traders and dealers in groups of any size, or individually.

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Explore our wide range of popular topics and allow us to customise them for you.

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Man in suit in front of class

Our instructor-led sessions are both engaging and interactive.

 

All our trainers have worked either in-house or with the regulator.

 

They have real-world, practical, regulatory experience and offer the latest, innovative ways of providing engaging training facilitation.

​​​You can browse our most popular courses below. Click through to view course outlines to see what our clients have been most interested in learning about.

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Then get in touch to arrange for one, or several, of these course outlines to be delivered as shown or we can adapt just for you and your firm.​​​

TRAINING COURSE OUTLINES

Conflicts of Interest

Introduction to Conflicts of Interest

People new to conflict management get guidance on compliance, best practices and regulatory requirements

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Payment for Order Flow

Gain an overview of PFOF, UK regulations, conflicts and best practices.

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Managing Conflicts

Heads of sales learn to manage conflicts of interest ethically with practical techniques.

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Consumer Duty

Product Governance

Product Governance

Learn the regulatory requirements, risk assessments and best practice for designing products.

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Consumer Duty for the Champion

Consumer Duty for the Champion

Consumer Duty Champions learn regulatory drivers, FCA expectations,key processes and breaches management.

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Introduction to the Consumer Duty

Introduction to the Consumer Duty

New to Consumer Duty? Get a clear overview of FCA expectations, obligations and impact.

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Vulnerable Customers and the Consumer Duty

Vulnerable Customers and the Consumer Duty

Equip yourself with the expertise to confidently identify, understand, and support vulnerable customers.

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ESG

Greenwashing Awareness

Greenwashing Awareness

Get an in-depth understanding of the techniques used to mislead investors through deceptive marketing practices.

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ESG in Risk Frameworks

ESG in Risk Frameworks

Learn how to integrate ESG risks into risk management frameworks in the financial industry.

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Driving Sustainability from the Boardroom

Driving Sustainability from the Boardroom

Board and senior management learn about sustainable finance, ESG principles and navigating climate risks.

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Financial Crime

Financial Fraud Detection, Prevention & Compliance for Compliance Officers

Detect and prevent fraud: Deep dive into financial crimes, regulations and best practice in fraud mitigation.

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Strengthening Our Defenses Against Fraud

Board briefing on UK financial services Fraud landscape, including upcoming Material Fraud Statement and Failure to Prevent Fraud Offences.

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Conducting Anti Fraud Risk Assessments

Equipping risk and compliance officers to conduct anti-fraud risk assessments effectively.

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Market Abuse

Introduction to Market Abuse

Explore the UK market abuse regime impact on investment professionals, offences and sanctions.

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Market Abuse Regulations (MAR) Refresher

Refresher on market abuse regs and supervisory expectations. Covers requirements and practical risk assessments.

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Managing and Mitigating Market Abuse Risks

Investment professionals learn how to mitigate market abuse risks

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Outsourcing

Introduction to Managing Third Party Risk

Gain a high-level understanding of UK TPRM and the tools to manage TPRM risks effectively.

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Managing Outsourced Arrangements

Engaging third parties? Get insights into the outsourcing regulations and expectations,

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Introduction to Outsourcing

Gain a general introduction into managing outsourced arrangements.

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SMCR

Taking on a Senior Manager Function

New Senior managers learn about the Senior manager regime, personal liabilities and risk management.

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SMCR for Beginners

HR, compliance or managing SMCR? Understand the requirements,breaches and effective solutions.

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Taking on a Certification Function

Briefing for Certification Function holders to manage risks effectively.Develop strategies for success in your role.

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SMCR for Support Functions

Support functions learn SMCR purpose,regulator’s goals and guidance on SMCR review and audit scoping.

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The Conduct Rules

Line managers, HR and compliance professionals learn conduct principles and rules through practical examples.

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CASS
Conflicts
Consumer Duty
Financial Crime
ESG
Market Abuse
Outsourcing
SMCR

Protecting Customers Monies and Assets (CASS)

CASS for Beginners

Learn FCA CASS rules, responsibilities, best practices, and past failures. Ideal for new or returning CASS pros.

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Holding the CASS SMF

Briefing for CASS and Senior Manager function holders. Gain knowledge to succeed as a CASS Senior Manager.

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CASS for Operations

Operations staff learn technical CASS rules,for practical application and examples of key processes.

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Holding the CASS Certification Function

The briefing gives the CASS Certification Function holder the skills to effectively manage their role.

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CASS for Support Functions

Support functions acquire the tools to monitor CASS compliance, understand three lines of defence and manage risks.

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