UK Advising and Selling Obligations Compliance Training

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Course Summary

When you advise on or sell investment products, the FCA expects you to put the client first. This Ethena course walks UK staff through the Conduct of Business rules on knowing your client, making suitable recommendations, and giving clients the information they need.

What the FCA advising and selling rules cover
Know Your Client obligations in practice
Making suitable client recommendations
What clients must be told

Included Modules:

What Are Advising and Selling Rules?

Introduces the FCA’s Conduct of Business Sourcebook rules that govern how UK firms advise clients on and sell them retail investment products.

Understanding Your Know Your Client Obligations

Explains the FCA Know Your Client duty to gather the facts about a client’s needs, circumstances, and goals before recommending any product.

Your Obligations Around Suitable Recommendations

Covers the FCA suitability rules requiring advisers to recommend products that genuinely fit each client’s objectives, knowledge, and financial situation.

Client Information Obligations Explained

Sets out the FCA rules on giving clients fair, clear, and not misleading information about products, costs, and risks before they decide.

Why is this training important for workplaces?

Anti-money laundering (AML) is crucial for maintaining the integrity of financial systems and preventing illegal activities. Implementing strong AML measures protects businesses from reputational damage, legal consequences, and financial losses. It ensures compliance with regulatory requirements and enhances trust among clients, investors, and stakeholders. By understanding and actively addressing money laundering risks, organizations can foster a safe and secure environment, safeguard their assets, and contribute to the overall stability of the financial ecosystem.

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