Compliance Learning course catalog
Content for our course library is powered by world-leading regulatory intelligence and courses are updated in response to the latest regulatory and legislative changes. Browse our compliance training catalog to find the best course for your organization.
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Conduct Risk Suite
The eight courses in the Conduct Risk Suite familiarize employees with the various areas of a firm’s culture and operations that present a conduct risk - the risk that customers and clients will suffer detriment as a result of the firm’s inappropriate business culture or inappropriate judgment...
Conflicts of Interest
This Conflicts of Interest training course describes the most common workplace conflict-of-interest situations and the circumstances in which they arise. It is intended to train employees of all types of organizations to recognize and avoid conflicts of interest, particularly with regard to...
Corporate Social Responsibility and ESG Investing (Global)
This course introduces the general concept of corporate social responsibility and its most modern form: environmental, social, and governance (ESG) investing.
COVID-19 Compliance Challenges
This course provides an overview of compliance challenges posed by the COVID-19 pandemic and highlights the importance of compliance vigilance during the crisis.
Customer Proprietary Network Information (CPNI)
All telecommunication employees with access to consumer data are required to receive annual training on the proper handling of CPNI in sales transactions and everyday customer interactions. This 30-minute Customer Proprietary Network Information course is intended to help telecommunications...
This course is intended to raise awareness on the concept of cyber resilience, defined as the ability of an organization to withstand or quickly recover from cyber events that disrupt usual business operations.Learners will gain an understanding of what cyber attacks look like and how they...
Data Privacy and Security
The Data Privacy course is intended to provide employees with an understanding of personal data and information, the background and principles of data protection, the consequences of not adhering to applicable laws and regulations, and employees’ responsibilities with respect to data...
Dealing and Managing
This Dealing and Managing training course provides an overview of the Financial Conduct Authority (FCA) rules aimed at providing appropriate protection for customers, including the best execution, customer order handling, and allocation and aggregation rules, as well as summarising the rules...
Dodd-Frank Conflict Minerals
This Dodd-Frank Conflict Minerals training course covers the fundamentals of the Conflict Minerals Rule, as it applies in light of the April 2014 court ruling that struck down portions of the Rule. It explains what employees need to know about conflict minerals in the supply chain, as well as...
This Dodd-Frank compliance course provides an overview of the Dodd-Frank regulatory reforms and discusses some of the general, practical implications for financial companies. It is recommended for all employees who work in the financial services industry.