FCA Induction & Refresher

FCA Compliance Induction for Senior Managers at Investment Firms - 2025/26

This course introduces the FCA compliance concepts that apply to investment firms and to individuals performing Senior Manager roles. It also provides practical guidance on managing compliance risk and responding appropriately when issues arise.This module is suitable for anyone starting in a Senior Manager role at an FCA-regulated investment firm under the Senior Managers and Certification Regime.

FCA Compliance Induction for Investment Firms - 2025/26

This course introduces the key FCA compliance concepts that apply to investment firms and to individuals working within them. It also gives practical guidance on what to do when compliance issues arise.This module is suitable for anyone joining an FCA-regulated investment firm, other than Senior Managers, who should take “FCA Induction for Senior Managers at UK Investment Firms”.

FCA Compliance Refresher for Investment Firms - 2025/26

This course refreshes key FCA compliance concepts that apply to investment firms and to individuals working within them. It also reinforces the practical steps to take when compliance issues arise.This module is suitable for anyone working at an FCA-regulated investment firm, other than Senior Managers, who should take “FCA Refresher for Senior Managers at UK Investment Firms”.

FCA Compliance Refresher for Senior Managers at Investment Firms - 2025/26

This course refreshes the FCA compliance concepts that apply to investment firms and to individuals performing Senior Manager roles. It also reinforces practical guidance on managing compliance risk and responding appropriately when issues arise.This module is suitable for anyone working as a Senior Manager at an FCA-regulated investment firm under the Senior Managers and Certification Regime.