This module provides an overview of the individual Conduct Rules introduced by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) – the UK’s financial services regulators – which initially came into effect progressively between 2016 and 2021.
In July 2022, the Financial Conduct Authority, or FCA, published a policy statement, with final rules, on its Consumer Duty initiative. This comprises a new principle, cross-cutting rules, and four outcomes for retail consumers. The Consumer Duty will mean that consumers should receive communications they can understand products and services that meet their needs and offer fair value, and obtain the customer support they need, when they need it.
Fraud is usually defined by domestic regulators as taking place within a ‘given industry’ and within the broader legal framework, in a ‘given country’. Unethical behaviour is closely related and may be forbidden by industry or law firm associations, accounting organisations, or other private professional groups.
This course outlines the need for combating ML risks and other financial crimes. Financial institutions must be able to respond to threads on a contextual basis to balance efficiency and cost needs with compliance obligations.
This course outlines provides a brief overview of Suspicious Transactions / Activity Reporting process in a regulated financial services firm.
This course provides staff with an understanding of Conflict of Interest, the laws and regulations that make it illegal, and the responsibilities of employees to help detect and prevent it.
Compliance involves the efforts and programs of an organization to ensure that the business complies with government and industry regulations. If your organization is subject to a compliance scheme, it means your business is bound, by contract or law, to follow rules set by external bodies.
Your compliance training needs are covered by the London Governance & Compliance Academy’s (LGCA) Compliance Learning Solution (CLS).
Comprehensive online training courses in governance, risk and compliance for the financial services sector and more.
A user-friendly compliance monitoring and workflow tool that facilitates meeting your regulatory obligations.
CMLS improves your organisation’s operational resilience by providing a single source for all compliance-related activities and streamlining the reporting process.
Digitise your compliance monitoring program, be audit ready, and reduce the burden associated with typical spreadsheet driven processes.
Ready to use workflows for submitting, routing, tracking and reporting on requests for approvals.
Easily request, schedule and collect acknowledgements from staff on important documents, policies and/or procedures.
Share important documents securely based on permissions. Collect attestations on each version, use it for meeting minutes, to review policies and more.
Send requests to gather information, or certificates from users outside your organisation. Great for keeping your vendor files updated or to perform due diligence on external parties.
Secure access to important information on a need-to-know basis. Silo registers and access according to permissions.
As a leading RegTech provider, ComplyPortal and our team of compliance specialists can provide you with up-to-date compliance templates from our library. Our compliance library is created, managed and updated by our experts to meet all relevant regulation requirements. Meaning that when there is a regulation change or a new regulation approaches, ComplyPortal will assess these and make updates to our templates.
Furthermore, ComplyPortal’s features are continuously reviewed and updated to offer you a series of Compliance Modules to help you keep up with new legislative or regulatory development. As new compliance challenges arise, ComplyPortal will assess these roadblocks from a RegTech perspective and find ways to help you as a firm remain compliant.
Our state-of-the-art CLS provides an easy and user-friendly way to deliver, manage, and track all of your training needs in collaboration with The London Governance & Compliance Academy (LGCA). You will be able to access robust reporting, integrate human resources data, and even enable single sign-on. Plus, you’ll always have one-click access to your governance, risk and compliance (GRC) e-learning courses.
Compare multiple plans, generate quotes, and select the best insurance solutions instantly
Encrypted and compliant platform ensuring safety of personal and financial information
Access different insurance types including Travel, Motor, Home, and more from one platform
Timely notifications for renewals, payments, policy updates, and promotional offers
