CPD Certified - FCA Compliance Induction for Investment Firms - 2020/21 (0.75 points)

This course provides a sound knowledge and awareness of key FCA compliance concepts that relate to both the individual’s employer and to the individual in a personal capacity.

The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.

This module is suitable for anyone that starts working for a FCA-regulated Investment Firm, aside from Senior Managers (who should instead take the module ‘Compliance Induction for Senior Managers at Investment Firms’).

Compliance

This course is worth 0.75 CPD points