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

This course provides a refresher of key FCA compliance concepts that relate both to 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 works for a FCA-regulated Investment Firm, aside from Senior Managers (who should instead take the module ‘Compliance Refresher for Senior Managers at Investment Firms’.

Compliance

This course is worth 0.75 CPD points