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Compliance and Ethics Training Resources in the UK: A Comprehensive Guide

The United Kingdom’s financial sector is governed by a complex web of regulations, making it essential for firms to provide their employees with robust compliance and ethics training. With numerous courses available, it can be challenging to find the right one that meets your organization’s specific needs.

Overview

Whether you require skills-based training for your Compliance Team or awareness-based training for your firm, this comprehensive guide is designed to help you navigate the complex landscape of compliance and ethics training resources in the UK. Our range of courses covers topics such as:

  • Client assets
  • Conflicts of interest
  • Consumer duty
  • Diversity and inclusion
  • Financial promotions
  • And more

Essential Training Programs

Our comprehensive guide provides an overview of available options to help you make informed decisions about your training needs. Some key training resources in the UK include:

Workshops

  • Best Execution Workshop: This course helps firms understand their obligations under the best execution requirements.
  • Client Assets Workshop: This workshop is designed for firms that hold client assets and need to ensure compliance with relevant regulations.
  • Conduct and Culture Workshop: This course focuses on the importance of conduct and culture in a firm’s compliance framework.

eLearning Programs

We also offer a range of eLearning programs, including:

  • Conflicts of Interest eLearning
  • Consumer Duty eLearning
  • And more

Upcoming Public Courses

For a list of upcoming public courses, please see below:

  • Developing a Risk-Based Compliance Monitoring Programme: 06-07 November 2024
  • Diploma Series - Key Compliance Skills: TBC
  • Diversity & Inclusion eLearning: Ongoing
  • Introduction to ESG & Sustainable Finance: TBC

Conclusion

This is just the beginning of our guide. For more information on compliance and ethics training resources in the UK, please continue reading or contact us for further assistance. With our comprehensive guide, you can rest assured that your organization is equipped with the necessary knowledge and skills to maintain compliance with regulatory requirements.