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Market Ready e-learning
Complinet e-learning Solutions combine expert content with cutting-edge design capability to help our clients meet all their compliance and regulatory training needs.
Course List
With more than 50 e-learning courses covering various jurisdictions, our 'market-ready' catalog covers key regulatory subjects for all sectors of the financial services industry.
Complinet's e-learning courses are interactive, user-friendly and written in a practical, engaging style by our team of experts. The courses can be customized to incorporate your firm's policies, procedures and branding.
Induction & Awareness
Regulatory Overview (US)
The aim of this course is to provide all employees working within the financial services industry with a basic introduction to how the industry is regulated. The course explains the key areas of financial services regulation and outlines the responsibilities of the firm and the individual.
Ethical Behavior and the Spirit of Compliance (US and Canada)
The aim of this course is to provide all staff working in financial institutions with an understanding of the importance of ethical behavior and guidance to recognize and prevent questionable conduct. Learners are made aware of why ethical conduct is important to financial institutions and the consequences of unethical behavior.
Anti-Harassment (US)
Harassment in the workplace is a serious and growing issue. Complinet’s Anti-Harassment e-learning course details the obligations placed on individuals and institutions in preventing, responding to and reporting all types of harassment within the workplace. The course uses practical examples to ensure that learners are able to identify wrongful behavior and the various protections available.
Protecting Personal Information (US)
This course provides all staff working in financial institutions with an understanding of the importance of information security and protecting personal information. Learners are made aware of the measures they can take to keep data secure and provided with an overview of the key data privacy legislation and the consequences of non-compliance.
Basel II (US and Canada)
The aim of this course is to provide employees with a practical understanding of the Basel II accords. The course explores the three “pillars” of Basel II including how firms and individuals are affected.
Introduction to Regulation (UK)
The aim of this course is to provide all employees working within the financial services industry with an introduction to industry regulation. The course contains brief overviews of the key areas of financial services regulation and details the responsibilities of the firm and the individual.
Introduction to Regulation – Insurance (UK)
The aim of this course is to provide all employees working within the insurance industry with an introduction to industry regulation. The course contains brief overviews of the key areas of insurance regulation and details the responsibilities of the firm and the individual.
Data Protection (UK)
The aim of this course is to provide employees with an understanding of the legislation and principles of data protection and the consequences of non-compliance.
Data Protection – Europe (UK and Europe)
The aim of this course is to provide employees with a practical understanding of the EU Data Protection Directive, including the principles of data protection and the consequences of non-compliance. The course also provides an overview of how different countries within Europe have implemented the Directive.
Conflicts of Interest (UK)
This course has been designed to provide employees with an understanding of the importance of managing potential conflicts of interest and the key elements that form part of a conflict management policy.
Competition Compliance (UK and Europe)
European competition laws impose a set of rules and penalties that are designed to discourage anti-competitive practices. This course provides a practical overview of these rules.
Information Security Awareness (UK and Europe)
This course will raise employee awareness of the importance of information security and prompt recognition of security threats and the measures that can be taken to keep data secure.
Health and Safety (UK)
The aim of this course is to provide all relevant employees of financial institutions with an understanding of the importance of health and safety. Learners will be made aware of their responsibilities, as well as outlining the main hazards they may encounter and a range of basic safety precautions to avoid accidents and ill health.
Basel II (UK and Europe)
The aim of this course is to provide employees with a practical understanding of the Basel II accords. The course explores the three “pillars” of Basel II including how firms and individuals are affected.
The Spirit of Compliance – Middle East
This course aims to provide all staff working in financial institutions with an understanding of the importance of ethical behavior and guidance to recognize and prevent questionable conduct.
Information Security Awareness – Middle East
This course will raise employee awareness of the importance of information security and prompt recognition of security threats and the measures that can be taken to keep data secure.
Basel II - Middle East
The aim of this course is to provide employees with a practical understanding of the Basel II accords. The course explores the three “pillars” of Basel II including how firms and individuals are affected.
Anti-Money Laundering
Money Laundering and Terrorist Financing (US)
The aim of this course is to provide all staff working in financial institutions with an understanding of US money laundering law, regulation and rules.
Anti-Money Laundering – Canada
The aim of this course is to provide all staff working in financial institutions with an understanding of Canadian money laundering law, regulation and rules.
Anti-Money Laundering – Financial Services (US)
Financial Services - The aim of this course is to provide all staff working in financial institutions with an understanding of US money laundering, law and regulations. Learners are made aware of the main AML obligations placed on firms and individuals and the consequences of non-compliance.
Sanctions
The aim of this course is to provide all relevant employees of financial institutions with an understanding of the purpose and application of the global sanctions regime. Learners will be made aware of the key organizations involved in the sanctions setting and enforcement process and the different types of sanctions imposed around the world. By the end of the course, learners will know their responsibilities in complying with sanctions measures.
Anti-Money Laundering – Global
This course provides comprehensive training in money laundering prevention for all staff and provides an insight into the laws and regulations that apply throughout the world.
Anti-Money Laundering - Investment Firms (UK)
The aim of this course is to provide all staff working in investment firms with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering - Law Firms (UK)
The aim of this course is to provide all staff working in law firms with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering - Accountancy Firms (UK)
The aim of this course is to provide all staff working in accountancy firms with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering - Life Insurance (UK)
The aim of this course is to provide all staff working in life insurance firms with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering - General Insurance (UK)
The aim of this course is to provide all staff working in general insurance firms with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering - Retail Banking (UK)
The aim of this course is to provide all staff working in retail banking with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering - Money Service Businesses (UK)
The aim of this course is to provide all staff working in money services businesses with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering – Channel Islands
The aim of this course is to provide all staff working in financial services firms with an understanding of money laundering law, regulation and rules as it applies to the Channel Islands.
Anti-Money Laundering – Ireland
The aim of this course is to provide all staff working in financial services firms with an understanding of money laundering law, regulation and rules as it applies to the Ireland.
Financial and Economic Sanctions
The aim of this course is to provide all relevant employees of financial institutions with an understanding of the purpose and application of the global sanctions regime. Learners will be made aware of the key organizations involved in the sanctions setting and enforcement process and the different types of sanctions imposed around the world. By the end of the course, learners will know their responsibilities in complying with sanctions measures.
Anti-Money Laundering – Middle East
Complinet's Anti-Money Laundering e-learning course provides comprehensive training in money laundering prevention for all firms regulated by the Dubai Financial Services Authority or Dubai International Financial Centre.
Anti-Money Laundering – DFSA
Complinet's Anti-Money Laundering e-learning course provides comprehensive training in money laundering prevention for all firms. This course puts particular focus on DFSA regulations.
Anti-Money Laundering - Singapore
The aim of this course is to provide all staff working in financial institutions with an understanding of Singaporean laundering law, regulation and rules.
Anti-Money Laundering - Australia
The aim of this course is to provide all staff working in financial institutions with an understanding of Australian laundering law, regulation and rules.
Anti-Money Laundering - Asia Pacific
The aim of this course is to provide all staff working in financial institutions with an understanding of money laundering law, regulation and rules across the Asia Pacific.
Anti-Money Laundering - Hong Kong
The aim of this course is to provide all staff working in financial institutions with an understanding of Honk Kong laundering law, regulation and rules.
Financial Crime
Market Manipulation and Insider Trading (US)
This course will be aimed at all staff within the firm and provides an understanding of the definition and scope of market manipulation and insider trading, and how this can cause financial and professional damage. The course will also cover the regulatory agencies that monitor and enforce these types of behavior.
Market Abuse (UK)
The aim of this course is to ensure learners know the definition and scope of market abuse, the new measures introduced by the Market Abuse Directive and some of the key issues faced under the new regime. The course also covers the criminal offences of insider dealing and misleading statements and practices.
Market Abuse – Hedge Funds (UK)
The aim of this course is to ensure learners know the definition and scope of market abuse, the new measures introduced by the Market Abuse Directive and some of the key issues faced under the new regime, in particular by the hedge fund industry. The course also covers the criminal offences of insider dealing and misleading statements and practices.
Fraud Awareness (UK)
The aim of this course is to ensure learners know the definition and scope of market abuse, the new measures introduced by the Market Abuse Directive and some of the key issues faced under the new regime. The course also covers the criminal offences of insider dealing and misleading statements and practices.
Market Manipulation and Insider Trading – Asia Pacific
This course will be aimed at all staff within the firm and provides an understanding of the definition and scope of market manipulation and insider trading, and how this can cause financial and professional damage. The course will also cover the regulatory agencies that monitor and enforce these types of behavior within the Asia Pacific region.
FSA Rules
Senior Management (UK)
The aim of the course is to provide those occupying or due to occupy significant influence functions with an understanding of the FSA's regulatory approach and the obligations the regulator places on senior managers.
Complaints Handling (UK)
This course provides details of how to deal with customer complaints and the consequences of failing to manage effectively the complaints handling process.
Advising and Selling (UK)
The course is designed to provide learners with an understanding of the FSA's advising and selling rules and the ability to apply them. The course has been updated to reflect the new Markets in Financial Instruments Directive (MiFID) regime.
Client Categorisation (UK)
The aim of this course is to provide learners with an understanding of the client classification process and the ability to apply them. The course has been updated to reflect the new MiFID regime.
Dealing and Managing (UK)
This course explains the rules for professionals dealing with customers and managing their investments. The course has been updated to reflect the new MiFID regime.
Financial Promotion (UK)
The aim of the course is to explain the rules relating to financial promotions to professionals involved in promoting financial products to consumers in the UK. The course has been updated to reflect the new MiFID regime.
Treating Customers Fairly (UK)
The aim of the Financial Services Authority’s Treating Customers Fairly (TCF) initiative is for firms to put customers’ interests at the heart of their business and, thereby, build consumer confidence in the financial services industry. This training course is designed for all levels of staff in firms within the financial services industry.
Treating Customers Fairly - Investment Managers (UK)
The aim of the Financial Services Authority’s Treating Customers Fairly (TCF) initiative is for firms to put customers’ interests at the heart of their business and, thereby, build consumer confidence in the financial services industry. This training course is designed for all levels of staff in firms which provide and distribute investment funds.
Treating Customers Fairly - Insurance Firms (UK)
The aim of the Financial Services Authority’s Treating Customers Fairly (TCF) initiative is for firms to put customers’ interests at the heart of their business and, thereby, build consumer confidence in the financial services industry. This training course is designed for all levels of staff within insurance firms.
Treating Customers Fairly - Stockbrokers (UK)
The aim of the Financial Services Authority’s Treating Customers Fairly (TCF) initiative is for firms to put customers’ interests at the heart of their business and, thereby, build consumer confidence in the financial services industry. This training course is designed for all levels of staff within stockbroking firms.
Client Assets (UK)
This course explains in detail the Financial Services Authority safekeeping rules for client assets and client money, covering the purpose of the rules as well as providing practical guidance on how the rules should be applied on a day-to-day basis.
Automated Order Routing Systems (UK)
The purpose of this course is to introduce to all levels of staff to some of the generic rules, regulations and responsibilities surrounding automated order routing systems.
Approved Persons (UK)
This course is designed to ensure approved persons are aware of their responsibilities under the FSA regulatory regime. A practical guide to the Statements of Principle is provided along with case studies and examples of behavior expected by the FSA.
