The Managers and Compliance Package has been developed to help managers better understand the regulatory framework in which they are working. It is presented as a set of 12 modules containing a Client Assets Sourcebook (CASS) module for those who conduct business falling under the application of CASS. It also incorporates a set of Senior Managers and Certification Regime modules, and provides an overview of the Consumer Duty regulations.
Suitable for:
Managers who want an introduction or refresher on the UK Financial Regulations and SM&CR, as well as an overview of topics such as fraud prevention and Consumer Duty.
Learning objectives:
These modules will ensure that managers are aware of their compliance responsibilities. The knowledge gained will help mitigate the risk of compliance breaches and remove legal liability from the organisation in the event of wrongdoing.
Content:
12 modules delivering a total of 9 to 10 hours of learning. These modules are not specifically tailored to the vehicle leasing industry.
Cost:
£119.95 + VAT per learner for an annual subscription. Includes an on-line assessment and a Certificate of Completion for each module. If however, you have a relationship with any of the principle funders mentioned below, you are entitled to a subsidised rate of £89.95 +VAT per learner.
Modules
CASS: Client Money and Client Assets
Understand the Financial Conduct Authority's (FCA) rules for the administration of client assets and client money, including the requirements to segregate and safeguard these assets. Focus on the two chapters: CASS 6 (Custody rules) and CASS 7 (Client Money Rules).
Environmental, Social and Governance (ESG)
This course will prepare you to; appreciate the importance of ESG initiatives, recognise key ESG issues facing your company, identify ESG-related challenges and opportunities, take action to address ESG-related issues with customers and colleagues and support ESG-related initiatives within your company.
Fraud Prevention for Managers
Identify the types of fraud that your company may be exposed to, understand how to prevent internal and external fraud and know when and how to report suspected fraud.
Consumer Duty
Define the FCA consumer duty regulation, understand the rules that flow from the consumer duty, articulate the desired outcomes for consumers, apply the consumer duty to your day-to-day activity.
Introduction to UK Financial Regulation
Learn how the UK's financial services industry is regulated, how these regulations impact everything we do, and that compliance with them is an individual, as well as a collective, responsibility.
Principle of Businesses
Recognise the purpose of the Principles of Businesses, know the 11 principles and how they apply to different types of clients and appreciate the consequences of breaching the Principles.
Senior Management Arrangements Systems and Controls
Learn about the responsibilities of senior managers as covered by the Senior Management Arrangements, Systems and Controls Sourcebook (SYSC) contained within the Financial Conduct Authority's (FCA) Handbook.
Training and Competence
Understand the Financial Conduct Authority's (FCA) rules for training and competence of staff in the financial services sector, why staff need to be supervised and continually assessed as competent.
Overview of SM&CR for FCA Solo Firms
Understand the key elements of the SM&CR and how they apply to you, be aware of the Senior Management Functions and the allocation of responsibilities in your firm, understand how fitness and propriety are assessed and comply with the requirements, understand and comply with the conduct rules and comply with the Certification Regime.
Conduct Rules for Senior Managers at FCA Solo Firms
Explain how the FCA conduct rules apply to you as a senior manager and understand when the FCA might take action for non-compliance.
Conduct Rules for employees at FCA Solo Firms
This module explains how the FCA conduct rules apply to your employees.
Conduct Rules for certified persons at FCA Solo Firms
Explain how the FCA conduct rules apply in practice and describe when the FCA might take action for non-compliance with these rules.
Developed in partnership with:
