Regulatory Training
Newgate Training Centre
Onsite Training
Newgate Compliance provides comprehensive regulatory and compliance training on a variety of topics. The consultant will come to your office and tailor the level and depth of the training to the knowledge and experience of the attendees and the regulatory requirements.
Our training courses are delivered at your offices to minimise disruption with the subject and length of each training session determined by the firm’s requirements. Courses typically centre on subjects such as:
- Compliance Induction;
- Approved Person Responsibilities;
- Anti-Bribery;
- Anti-Money Laundering;
- Market Abuse;
- Financial Promotions; and
- all other regulatory subjects on request.
For more information on on regulatory training services please contact us.
Online Training
Newgate’s Training Centre offers an e-learning solution built by experienced compliance consultants, most of whom are ex-regulators. The Newgate Training Centre offers a suite of online courses designed to assist your firm to be in line with your regulatory obligations as well as your continuous professional development.
Our online training offers an ideal solution for flexible learning to staff working remotely.
- Anti-Bribery and Corruption
- Anti-Money Laundering
- Anti-Money Laundering for Trust and Company Service Providers NEW
- Anti-Tax Evasion
- Appointed Representatives and Approved Persons
- Board of Directors: Duties, Responsibilities and Liabilities
- Client Money & Assets NEW
- Complaints NEW
- Conduct of Business
- Conflicts of Interest
- Consumer Duty & Vulnerable Clients NEW
- Cybersecurity
- Data Protection, Privacy and Security
- Environmental, Social Governance (ESG)
- FCA Systems & Returns
- Financial Promotions
- Fraud
- Investment Firms Prudential Regime (IFPR) NEW
- Introduction to Compliance
- Market Conduct
- Modern Slavery Act NEW
- Operational Resilience
- Product Governance
- Sanctions
- SMCR Certification Regime
- SMCR Conduct Rules
- SMCR Senior Managers Regime
For a free trial and/or any queries please contact us:
Selecting the right courses for your team
The Newgate Training Centre offers a suite of online courses designed to help firms meet their mandatory training requirements and with their continuous professional development. The selection of course can be tailored to meet the requirements of each employee. We recommend allocating courses depending on the SM&CR function of each employee.
These are our 'core' modules for all staff members including those that are not Senior or Certification Staff such as interns.
- Anti-Tax Evasion Awareness
- Cybersecurity
- Data Protection, Privacy and Security
- Market Conduct
- SMCR Conduct Rules
- Anti-Money Laundering
- Anti-Bribery and Corruption
- Introduction to Compliance
These courses are relevant to all certified persons that are not Senior Managers, such as Team Leaders and those with a client-facing role.
- Sanctions
- Fraud
- ESG and Sustainability
- Clients’ Money & Assets
- Conflicts of Interest
- Treating Customers Fairly
- Operational Resilience
- Market Conduct
- Cybersecurity
- Anti-Tax Evasion Awareness
- SMCR Certification Regime
- Product Governance
- Anti-Money Laundering
- Anti-Bribery and Corruption
- Financial Promotions
- Introduction to Compliance
- Conduct of Business
- FCA Systems and Returns
These courses include more detailed regulatory training, relevant for the firm's Compliance Officer, Board of Directors and NEDs
- Sanctions
- Fraud
- ESG and Sustainability
- Clients’ Money & Assets
- Conflicts of Interest
- Treating Customers Fairly
- Operational Resilience
- Data Protection, Privacy and Security
- Anti-Tax Evasion Awareness
- Cybersecurity
- Market Conduct
- SMCR Senior Managers Regime
- Product Governance
- Anti-Money Laundering
- Introduction to Compliance
- Anti-Bribery and Corruption
- Financial Promotions
- Conduct of Business
- FCA Systems and Returns
- Board of Directors: Duties, Responsibilities and Liabilities
- Approved Persons (FOR APPOINTED REPRESENTATIVES ONLY)
