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