New elearning courses for FCA regulated firms

In 2023 Marshalls invested in 20 hours of CPD accredited training on an introduction to financial services. This serves as a perfect induction for anyone new to working in financial services or who is providing a service to that sector. Many clients have looked to modify the resources for new graduate induction also.

The new consumer duty from the FCA that came into force July 31 has also been developed. If you take on this suite from Marshalls you will have the latest, most up to date content for regulatory training, all written by expert Victoria Sena

Consumer Duty – Introduction Series

The ’Introduction’ series is designed to introduce people to the key financial regulators. The format includes information on each organisation’s history, objectives, structure, and key personnel.

• Introduction to the Bank of England and Prudential Regulation Authority
• Introduction to the Financial Conduct Authority
• Introduction to The Pensions Regulator
• Introduction to the Financial Ombudsman Service

Market Risk

While Market Risk relates to the performance of financial markets, Operational Risk can be split into four main categories of people, processes, systems, and events. The Human Risk course will explore conduct risk in further detail. The Communications course will introduce the regulations surrounding Communication, which have grown over time as financial companies learn to communicate with their customers and staff in new ways. Finally, the Gifts and Inducements course will explain what gifts and inducements can include, and how this process should be managed.

• Operational Risk
• Conduct Risk (Human Risk)
• Communication
• Gifts and Inducements

Spotlight

We are throwing spotlights on six of the main regulations: APER applies to FCA approved persons; MiFID II regulates financial markets for the benefit of investors; the AIFMD applies to alternative investments; Solvency II and the IDD are insurance regulations, and EMIR is the European Market Infrastructure Regulation. These courses aim to draw out the purpose, key requirements, and intended consequences of the regulations.

• Spotlight on APER
• Spotlight on MiFID II
• Spotlight on AIFMD
• Spotlight on Solvency II
• Spotlight on EMIR
• Spotlight on IDD

SM&CR

We explore the SM&CR, tying it into existing courses such as the Consumer Duty. The Course on Greenwashing and Understanding Sustainable Finance will complement our existing courses on climate change and environmental sustainability. Finally, we shall explore the terms FinTech and RegTech, and what they mean for the future of finance.

• Senior Managers and Certification Regime
• Greenwashing
• Understanding Sustainable Finance
• FinTech and RegTech

Updates

In addition to these brand-new courses, we will be updating several existing courses to reflect the Financial Conduct Authority’s Consumer Duty coming into force on 31 July. These include the Vulnerable Customers and Treating Customers Fairly courses.

Bespoke Courses

Is there a bespoke course you would like Marshall E-Learning to develop for your organisation? If so, we would be delighted to assist you.

Please contact us for a complimentary demonstration or just to have a discussion with one of our team.