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Compliance Training Courses for Financial Professionals
Ocorian, a leading compliance training provider, offers a range of courses to help financial professionals navigate complex regulatory requirements. In this article, we’ll summarize the key points of each course and highlight what you can expect to learn.
Course 1: Product Governance under MiFID II
Objective:
Understand the firm’s responsibilities and requirements in respect of product governance under MiFID II
Learning Outcome:
- Recognize the duties of those manufacturing products and distributing products, including product design, approval process, target markets, review, and monitoring of performance.
Course 2: Sanctions Regulations
Objective:
Summarize the different sanctions regulations and how they are enforced within financial regulations
Learning Outcome:
- Understand UK sanctions regulations, sanctions regulations in developed nations, tactics used by entities to evade regulations, and necessary steps to take to avoid breaching sanctions regulation.
Course 3: Certification Regime under SM&CR
Objective:
Provide information on the Certification Regime, one of the three constituent parts of the Senior Managers and Certification Regime (SM&CR)
Learning Outcome:
- Understand certification functions, fit and proper requirements, and importance of certificate issuance.
Course 4: Conduct Rules under SM&CR
Objective:
Provide information on the Conduct Rules under the FCA’s Senior Managers and Certification Regime (SM&CR)
Learning Outcome:
- Recognize the two tiers of requirements and breach reporting requirements.
Course 5: Senior Managers Regime under SM&CR
Objective:
Provide information on the Senior Managers Regime, one of the three constituent parts of the FCA’s Senior Managers and Certification Regime (SM&CR)
Learning Outcome:
- Understand Senior Manager functions, statements of responsibility, duty of responsibility, prescribed responsibilities, and fit and proper requirements.
Course 6: Treating Customers Fairly (TCF)
Objective:
Provide information on the TCF initiative, including five principles of business and six consumer outcomes
Learning Outcome:
- Describe TCF outcomes, identify responsible action when dealing with vulnerable customers, and recognize management information used to review and assess a firm’s ability to practice TCF.
About Ocorian
Ocorian is a compliance training provider that focuses exclusively on finance. They offer an on-demand training service that prioritizes convenience, flexibility, and continuous improvement. Whether you’re looking to enhance your knowledge or meet regulatory requirements, Ocorian has the expertise and resources to help you succeed.