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Online Compliance Training

Laven e-Learning

Laven's e-Learning platform ensures all staff members are up to date and compliant with regulatory requirements. Our portal offers over 120 compliance training courses to choose from that are regularly updated to comply with new and changing regulations.

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Laven Partners offers onsite and online regulatory training to ensure all staff members are up to date and compliant with regulatory requirements.

Our approach to Compliance Training

  • The training courses are regularly reviewed by our Senior Consultants to ensure participants get a comprehensive overview of the key regulatory developments in easy-to-understand terms, whilst maintaining language and tone used by the FCA.
  • All our courses are regularly updated to reflect regulatory changes and are fully CPD accredited.
  • Simple reporting tools allows for comprehensive management oversight and automated email reminders to save time chasing employees.
  • If desired, our e-learning courses can be customised to induct some of your company’s
    personality and be as relevant to your company as possible.

Benefits of our training platform

Accessible
Users can pause their training courses and pick them up again later, so training can be flexible and fit around daily responsibilities.
Engaging
Our courses utilise interactive text formats and quizzes to ensure our training remains fresh and effective.
Trackable
Our platform comes with tracking tools allowing management to monitor the training progress of all staff members.
Customisable
Tailor existing or even create brand new courses to fit specific requirements.
Affordable
Tailor existing or even create brand new courses to fit specific requirements. We offer competitive rates to suit firms of all sizes, with the flexibility to add new training users on an ad hoc basis.
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The Training Dashboard

The Laven Training portal also includes access to our best-in-class dashboard that allows you to track the progress, scores and view the certificates of staff without the need to download spreadsheets or large PDF files (both of these are still available if desired). Staff can also use the dashboard to track their own progress and see a date organized list of all the courses they have completed for their professional development.

The "Compliance Essentials" Package

You can purchase Laven's essential training package directly from the website, the training modules (listed below) ensure that you and your staff are fully aware of your obligations required by the regulator. 

By buying this bundle you recieve the following courses:

  • Anti-Money Laundering & Counter-Terrorist Financing
  • Market Abuse Regulation
  • Data Protection (UK and GDPR)
  • SM&CR Overview
  • Conduct Rules for Senior Managers/Certified Persons/Non-certified persons

Compliance Essentials: Modules in Detail

The UK Law requires everyone working in the covered business sector to undergo regular Anti Money Laundering ("AML") training and be aware of their obligations in relation to preventing these crimes. 
 
Our AML course helps employees understand their obligations in relation to preventing these crimes including due diligence and reporting suspicious activity.

The module also contains a section on Counter-Terrorist Financing ("CTF"), a threat that has only intensified in recent years with the growth of organised terrorist cells and attacks across the globe. 
 
We offer two courses – one that goes into detail on the UK system and one that provides a broader overview of the 17 key global regulatory regimes.

Audience: All Staff (FCA Requirement)

Duration: 40-60 minutes (including assessment)

5th anti money laundering directive

It is essential that all employees carry out MAR training as the laws and regulations prohibiting market abuse apply to everyone. 

Our MAR course will help all employees understand the EU and UK laws that safeguard financial market integrity and protect investors.

Audience: All Staff (FCA Requirement)

Duration: 40-60 minutes (including assessment)

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Our Data Protection course helps employees understand what personal and sensitive data is, why it needs protecting and how to ensure compliance with the EU GDPR and the Information Commissioner's Offices' equivalent regime in the UK.

Audiences: All staff who handle data

Duration: 50-70 mins (including assessment)

GDPR and Brexit

Having replaced the Approved Persons Regime, the Senior Management and Certification Regime ("SM&CR") came into effect for solo-regulated firms on the 9th December 2019. Our Overview provides participants with further detail as to how the SM&CR will affect your firm and what actions need to be taken to ensure your firm is compliant. 

This overview module serves to give context to why and what the regulation is, and as such is suitable for all members of staff at any solo-regulated firms.

Audience: All Staff

Duration: 50-70 minutes (including assessment)

Per the FCA's SM&CR Certification Regime, firms are required to train relevant staff on how Conduct Rules apply to their role. These enforceable rules set basic standards of good personal conduct, to which all people can be held accountable.

As different aspects of the Conduct Rules apply to different members of staff we have several different modules that go into detail on the relevant aspects. If you require any support in defining who in your firm should be assigned the individual modules, please get in touch via the link below.

Audience: Senior Manager/Certified Persons/Non-Certified Persons

Duration: 30-60 mins (including assessment)

SM&CR Managers

List of most popular modules

Scroll through the tabs to see an overview of Laven's comprehensive set of modules. The content of which can be easily tailored to suit your firm.

  1. Anti-Bribery Refresher
  2. Anti-Bribery Training
  3. Anti-Money Laundering (UK/Global)
  4. Bribery Prevention
  5. Business Ethics & Integrity
  6. Code of Conduct
  7. Competition Law
  8. Electronic Communications
  9. Embargoes and Sanctions
  10. Equality and Diversity for Managers
  11. Equality and Diversity in the Workplace
  12. FCA Principles for Business
  13. Financial Crime Prevention
  14. Financial Integrity
  15. Financial Sanctions
  16. Fraud Prevention
  17. GDPR Data Protection
  18. Healthy Working
  19. Information Security
  20. Market Abuse Regulation
  21. Markets in Financial Instruments Directive II (MiFID II)
  22. Modern Slavery
  23. Responsible Use of Social Media
  24. Whistleblowing
  1. Introduction to the Senior Managers and Certification Regime (SM&CR)
  2. SM&CR - Overview of SM&CR for Solo-Regulated firms
  3. SM&CR - Conduct Rules for non-Certified persons
  4. SM&CR - Conduct Rules for Certified Persons
  5. SM&CR - Conduct Rules for Senior Managers
  1. AIFM Regulations
  2. CASS - Client Money & Client Assets
  3. CeMAP Competency Refresher
  4. COBS - Client Categorisation
  5. COBS - Client Communications
  6. COBS - Dealing & Managing
  7. Complaints Handling
  8. Conduct Risk
  9. Conflicts of Interest in Asset Management
  10. Ethical Standards in Finance and Investment
  11. Information Barriers
  12. PRIIPs Regulation
  13. Prudential Regulation
  14. Retail Distribution Review
  15. SEC Rule 15a-6
  16. Treating Customers Fairly
  17. UCITS

Contact Us

Contact our Sales team to sign up to Laven's Online Training Portal

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