Regulated Financial Services Training

Start date: Arranged on a date convenient for you

Who is the course for: Financial Services staff regulated by the Financial Conduct Authority

Duration: Designed as appropriate

It is not only a legal requirement for Financial Services Companies to comply with FCA guidelines, more importantly it is in the interests of their clients. Our Courses expertly blends both requirements so that your staff can demonstrate their competence and professionalism in their role.

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Course overview

The Goal of Regulated Financial Services Training

The Financial Conduct Authority (FCA) require regulated financial services businesses to conduct training within their guidelines. We will provide trainers with the professional qualifications to deliver regulated training courses.

Financial markets need to be open and honest in order that consumers get a fair deal. We have experience in delivering new legislation and upskilling existing knowledge. We place focus on delivering outstanding outcomes for our clients in a sector that plays a critical role in the lives of everyone in the UK. Without this industry, the economy could not function, which highlights its importance.

What Content Will Be Covered?

We tailor all our courses to reflect the needs of the business together with the individual needs of each delegate. We use a mix of theory and exercises designed to develop delegates’ Financial Services’ skills.

Real-life work scenarios can be built into the training to support the learning and help to generate ideas and solutions that can be applied in the workplace.

Regulated Financial Services Training Support Material

A bespoke workbook with tips and techniques will be provided to all delegates attending the course.

What Are The Learning Outcomes?

Here are a number of learning outcomes from Regulated Financial Services Training:

  • Understand the principles of the regulatory framework
  • Identify the main principles and rules of the PRA and FCA.
  • Improved one to one communication skills
  • Know the importance of the concept of risks in relation to businesses and individuals’ legal concepts, and the link between regulation and legislation
  • Recognise what products, services and legislation are regulated by the financial planning and advice process
  • Know how to protect a vulnerable client
  • Understand the requirements of Know Your Customer (KYC)
  • Be able to apply current anti-money laundering, proceeds of crime and data protection obligations
  • Understand responsibilities in terms of client relationships, regulated advice standards, and positive customer outcomes
  • Know the principles and values of ethical, inclusive and sustainable advice

A Summary Of The Training

We have delivered training courses ranging from Supervisor T&C schemes to MiFID II, Currency mortgages to COBs.

Whilst waiting to attend your course, please read our case study ‘Regulated Financial Services Training’ to see how we supported a client with the Regulated Financial Services training of their staff.


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Module content

  • Introduction to UK Financial Regulation
  • Systems and Controls
  • Approved Persons
  • Treating Customers Fairly
  • Client Engagement
  • Anti Money Laundering
  • Conflicts of Interest
  • Risk Profiling
  • Capacity for Loss
  • Replacement Business
  • Insistent Clients
  • Recommending Suitability
  • Complaints Handling

'Graeme is an excellent facilitator, great pace and energy, and really practical hints and tips provided throughout. I really appreciated the support.'

Claire, Coutts

'This is an excellent course. It was very clear and simple to navigate and the examples covered everything you would want to know.'


'An extremely enjoyable experience, made enjoyable by Graeme's enthusiasm, skill and fabulous presentation style.'

Roland, Adam & Co