UK Finance Compliance Essentials Training

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Additional languages available
Meets accessibility standards
Auto-save training, mobile-friendly
Deliver on Ethena or your LMS (SCORM)

Course Summary

The UK’s financial regulators expect everyone in the industry to act with integrity. This Ethena course gives new and existing staff the FCA conduct, financial crime, and anti-bribery essentials they need to do the right thing.

Why ethics and FCA compliance matter
Your conduct and market obligations
Spotting and reporting financial crime
Managing conflicts, bribery, and confidential data

Included Modules:

Why Ethics and Compliance Matter in Finance

Explains why ethical conduct and FCA compliance protect customers, markets, and your firm, and why regulators expect integrity to guide every decision you make.

Your Personal and Market Conduct Obligations

Covers the FCA Conduct Rules and market abuse regime, setting out the personal standards of behaviour expected of you under the UK regulatory framework.

Your Role in Combating Financial Crime

Outlines your duties under the UK money laundering rules and Proceeds of Crime Act, including spotting suspicious activity and reporting concerns promptly.

Handling Confidential Information Responsibly

Shows how to protect client and firm confidential information under UK data protection and FCA rules, and avoid the misuse of inside information.

Your Obligations Around Conflicts of Interest

Explains how the FCA expects firms and individuals to identify, manage, and disclose conflicts of interest fairly to protect clients and market integrity.

Recognizing and Avoiding Bribery and Corruption

Introduces the UK Bribery Act and how to recognise and avoid bribery, corruption, and improper gifts or hospitality in your day-to-day work.

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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