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Client Assets (CFRA) | Thomson Reuters Legal
This Client Assets course will provide you with an understanding of the FCA's Client Asset rules and the importance of safeguarding client assets. You will also know the key provisions of the Client Money and Custody rules.
Common Reporting Standards | Thomson Reuters Legal
The purpose of this course is to provide awareness of the key requirements of CRS and the implications that it has on financial institutions and their customers. The course introduces the key requirements for classification of entities, financial accounts, and the customers. It also higlights...
Conduct Risk Suite | Thomson Reuters Legal
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 | Thomson Reuters Legal
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...
Compliance Induction | Thomson Reuters Legal
The purpose of this Compliance Induction training course is to help learners understand their regulatory and ethical responsibilities. The course includes real-world examples and scenarios that highlight the importance of employees recognising and responding appropriately to compliance issues...
Customer Proprietary Network Information (CPNI) | Thomson Reuters Legal
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...
Cyber Resilience | Thomson Reuters Legal
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 | Thomson Reuters Legal
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...
Australian Consumer Law | Thomson Reuters Legal
This Australian Consumer Law training course is intended to familiarize employees with the Australian Consumer Law (ACL), a national law that went into effect in 2011 and harmonized consumer protection and fair trading laws across Australia. The course describes unlawful sales practices and...
Dealing and Managing | Thomson Reuters Legal
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...