Regulatory Training

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 

The Newgate Training Centre offers a suite of online courses designed to help firms and their staff meet their mandatory training requirements under FCA rules.

The online training offers a flexible solution for staff. Training sessions can be paused and saved for a later date, as well accessible online via desktops, laptops, tablets and smartphones.

The course offering covers essential core compliance courses including: 

  • SMCR – Senior Managers Regime – NEW
  • SMCR – Conduct Rules – NEW
  • SMCR – Certification Regime – NEW
  • Product Governance – NEW
  • FCA Business Plan for 2019/20 – NEW
  • Anti-Money Laundering – UPDATED FOR 5MLD
  • Introduction to Compliance;
  • General Data Protection Regulation (“GDPR”) – UPDATED
  • Market Conduct
  • Anti-Bribery and Corruption – UPDATED: DEVELOPMENTS & LATEST CASES
  • Financial Promotions
  • Conduct of Business
  • Cybersecurity
  • FCA Systems and Returns
  • Board of Directors: Duties, Responsibilities and Liabilities
  • The role of the Compliance Officer

Contact us for advice on which courses are right for you and to obtain a free demo of our training courses.