By the end of the course the learner will know:
- Key information regarding their companys regulatory obligations
- Their personal responsibilities as an employee
- How to protect information and recognise what needs to be protected
- How to apply relevant rules and laws to a variety of business scenarios
- Where to go for further information
Module 1. Anti-Money Laundering
This course starts with a detailed analysis of the laws and regulations in relation to Anti-Money Laundering (AML), Counter-Terrorist Financing (CTF), sanctions and customer due diligence. The second part of the course takes the form of a series of case studies to test application of the legal and regulatory requirements to real-life situations.
Module 2. Bribery and Corruption
This course outlines the key UK anti-bribery obligations placed upon individuals and firms as a result of the Bribery Act 2010. Practical case studies are used throughout the course to ensure that learners are able to apply anti-bribery law, regulation and internal processes and procedures to business situations.
Module 3. Compliance Induction
The course contains sections on the key topics applicable to all employees who work for financial services firms. It provides an induction for new employees or serves as a reminder for existing employees.
Module 4. Data Protection
Real life examples of data protection failings are used in this module, assuring that learners thoroughly understand the importance of safeguarding personal data. Practical case studies are also used throughout the course to ensure learners are able to apply the law to business situations.
Module 5. Information Security
This course provides an overview of the information security requirements that apply to firms. Practical case studies are used to highlight the key risks when dealing with confidential information.
Module 6. Market Abuse
This module provides an overview of the UK market abuse regime that was introduced in 2005. The learner is taken through the scope of the rules and the consequences of inappropriate behaviour. A series of interactive exercises are used to test application of the rules.