Conduct and Compliance

Course Outline

Description

This course provides a comprehensive overview of the compliance responsibilities brokers must uphold within the financial services sector. It begins with an introduction to the Financial Conduct Authority (FCA) and its regulatory role, laying the groundwork for understanding the broader compliance environment. Delegates will learn the key processes and procedures required to operate in line with legal and industry standards, ensuring their practices are both compliant and diligent.

Key topics include the Consumer Credit Act, culture and governance, supporting vulnerable customers, the principles of Consumer Duty, complaint handling, broking permissions, and GDPR compliance. By the end of the course, delegates will have the knowledge and confidence to navigate their regulatory obligations effectively, promoting ethical conduct and adherence to industry expectations.

Learning Objectives

• Understand the regulatory framework by exploring the role of the FCA, the Consumer Credit Act, and the scope of broking permissions.
• Operate compliantly and ethically through knowledge of required processes, governance standards, and the principles of Consumer Duty.
• Support customer needs effectively by identifying vulnerable customers and managing complaints in line with regulatory expectations.
• Ensure data protection compliance by understanding GDPR requirements and best practices for handling customer information securely.