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

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:

  • Anti-Bribery and Corruption UPDATED
  • Anti-Money Laundering UPDATED
  • Anti-Tax Evasion Awareness UPDATED
  • Approved Persons FOR APPOINTED REPRESENTATIVES ONLY UPDATED
  • Board of Directors: Duties, Responsibilities and Liabilities UPDATED
  • Clients' Assets and Money NEW
  • Conduct of Business UPDATED
  • Conflicts of Interest UPDATED
  • Cybersecurity UPDATED
  • Data Protection, Privacy and Security UPDATED
  • ESG and Sustainability UPDATED
  • FCA Systems and Returns
  • Financial Promotions UPDATED
  • Fraud NEW
  • Introduction to Compliance UPDATED
  • Market Conduct UPDATED
  • Operational Resilience
  • Product Governance UPDATED
  • Sanctions NEW
  • SMCR Certification Regime UPDATED
  • SMCR Conduct Rules UPDATED
  • SMCR Senior Managers Regime UPDATED
  • Treating Customers Fairly UPDATED

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 UPDATED
  • Cybersecurity UPDATED
  • Data Protection, Privacy and Security UPDATED
  • Market Conduct UPDATED
  • SMCR Conduct Rules UPDATED
  • Anti-Money Laundering UPDATED
  • Anti-Bribery and Corruption UPDATED
  • Introduction to Compliance UPDATED

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 NEW
  • Fraud NEW
  • ESG and Sustainability UPDATED
  • Clients’ Money & Assets NEW
  • Conflicts of Interest UPDATED
  • Treating Customers Fairly UPDATED
  • Operational Resilience UPDATED
  • Market Conduct UPDATED
  • Cybersecurity UPDATED
  • Anti-Tax Evasion Awareness UPDATED
  • SMCR Certification Regime UPDATED
  • Product Governance UPDATED
  • Anti-Money Laundering UPDATED
  • Anti-Bribery and Corruption UPDATED
  • Financial Promotions UPDATED
  • Introduction to Compliance UPDATED
  • Conduct of Business UPDATED
  • FCA Systems and Returns

These courses include more detailed regulatory training, relevant for the firm's Compliance Officer, Board of Directors and NEDs

  • Sanctions NEW
  • Fraud NEW
  • ESG and Sustainability UPDATED
  • Clients’ Money & Assets NEW
  • Conflicts of Interest UPDATED
  • Treating Customers Fairly UPDATED
  • Operational Resilience
  • Data Protection, Privacy and Security UPDATED
  • Anti-Tax Evasion Awareness UPDATED
  • Cybersecurity UPDATED
  • Market Conduct UPDATED
  • SMCR Senior Managers Regime UPDATED
  • Product Governance UPDATED
  • Anti-Money Laundering UPDATED
  • Introduction to Compliance UPDATED
  • Anti-Bribery and Corruption UPDATED
  • Financial Promotions UPDATED
  • Conduct of Business UPDATED
  • FCA Systems and Returns
  • Board of Directors: Duties, Responsibilities and Liabilities UPDATED
  • Approved Persons (FOR APPOINTED REPRESENTATIVES ONLY) UPDATED