Products
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FCA Senior Management, Arrangements, Systems and Controls (SYSC) - A Guide
CourseThis 34-page guide is intended as a high-level summary guide for firms that need to abide by the obligations in SYSC. It explains, in plain English, the main rules that firms need to abide by to ensure compliance.
£75
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The FCA's Expectations on Vulnerable Customers - A Guide
CourseThis 30-page guide is a summary for all firms in their treatment of vulnerable & potentially vulnerable consumers. It explains, in plain English, the FCA's main rules & guidance that need to be abided by to ensure compliance.
£75
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The FCA's Expectations on Vulnerable Customers - Training Materials
CourseThis pack of slides & training materials forms a comprehensive basis for a robust training session aimed at ensuring customer-facing staff understand what vulnerability is, how it can be identified & how to deal fairly with vulnerable customers.
£99
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Senior Managers & Certification Regime Guide for Solo Regulated Firms
CourseThis 85-page guide is intended for solo-regulated firms – those regulated by the FCA only - on the transition to the SM&CR. It sets out the background & steps - in plain, easy to understand English - required to ensure compliance with the new Regime.
£75
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Template Certificate for the Certification Regime
CourseThese Certification Templates are worded to ensure compliance to the Certification Regime under SM&CR. Firms will be required to check & confirm (‘certify’) that certified staff are suitable to do their job & provide certification.
Free
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Fair Processing Notice Template
CourseThis template is an example Fair Processing Notice under GDPR for creditors and debt collection sectors; this example is for data provided by consent, compliant with GDPR.
Free