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Online Compliance Training
Laven's online compliance training platform ensures all staff members are up to date and compliant with regulatory requirements. Our online portal offers over 60 compliance training courses to choose from that are regularly updated to comply with new and changing regulations.
Our approach to Compliance Training
- As experts in compliance and best practice standards spanning many jurisdictions, all our courses are interactive and are available on an ad-hoc or regular basis.
- All our courses are regularly updated to reflect regulatory changes and are fully CPD accredited.
- If desired, all of our online training courses can be supplemented or completely converted into an in-person training session undertaken by one of our senior consultants.
Benefits of our training platform
- Accessible: Users can paus the training tutorials and save their progress, so training can be flexibile and fit round their daily responsibilities.
- Engaging: Choose from a variety of formats such as: video, audio, interactive text and quizzes to keep training fresh and interesting.
- 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 speicifc requirements.
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)
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)
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)
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)
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.
- AIFM Regulations
- Anti-Bribery
- Anti-Money Laundering (AML)
- Approved Persons
- CASS - Client Money and Client Assets
- Code of Conduct
- Complaints Handling
- Competition Law
- Conduct Risk
- Conflicts of Interest in Asset Management
- Financial Crime Prevention
- Fraud Prevention
- Market Abuse Regulation (MAR)
- Markets in Financial Instruments Directive II (MiFID II).
- Personal Conflicts of Interest
- Code of Conduct
- Equality and Diversity in the Workplace
- Healthy Working
- Managing Safely
- Modern Slavery
- Safeguarding the Vulnerable
- Sexual Harassment
- Social Media
- Senior Managers and Certification Regime (SM&CR)
- Whistleblowing
- Working Safely
- Consumer Rights (Digital)
- Consumer Rights (Goods)
- Electronic Communications
- General Data Protection Regime (GDPR)
- Identify Theft
- Information Security
- PCI Data Security
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