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Market Ready e-learning
Complinet e-learning Solutions combine expert content with cutting-edge design capability to help our clients meet all their compliance and regulatory training needs.
Course List
With more than 40 e-learning courses covering various jurisdictions, our 'market-ready' catalog covers key regulatory subjects for all sectors of the financial services industry.
Complinet's e-learning courses are interactive, user-friendly and written in a practical, engaging style by our team of experts. The courses can be customized to incorporate your firm's policies, procedures and branding.
Induction & Awareness
Regulatory Overview (US)
The aim of this course is to provide all employees working within the financial services industry with a basic introduction to how the industry is regulated. The course explains the key areas of financial services regulation and outlines the responsibilities of the firm and the individual.
Ethics and the Spirit of Compliance (US and Canada)
The aim of this course is to provide all staff working in financial institutions with an understanding of the importance of ethical behavior and guidance to recognize and prevent questionable conduct.
Electronic Communication (US and Canada)
This course provides all staff working in financial institutions with an understanding of the benefits and dangers of electronic communication and standards of acceptable use.
Sexual Harassment (US)
The aim of this course is to provide comprehensive training for all staff in creating and maintaining a positive work environment free from sexual harassment.
Introduction to Regulation (UK)
The aim of this course is to provide all employees working within the financial services industry with an introduction to industry regulation. The course contains brief overviews of the key areas of financial services regulation and details the responsibilities of the firm and the individual.
Introduction to Regulation – Insurance (UK)
The aim of this course is to provide all employees working within the insurance industry with an introduction to industry regulation. The course contains brief overviews of the key areas of insurance regulation and details the responsibilities of the firm and the individual.
Compliance Awareness (UK)
The aim of this course is to provide all employees working within the financial services industry with an introduction to how the industry is regulated and the important role each individual has to play in ensuring that the firm's integrity is maintained.
Data Protection (UK)
The aim of this course is to provide employees with an understanding of the legislation and principles of data protection and the consequences of non-compliance.
Conflicts of Interest (UK)
This course has been designed to provide employees with an understanding of the importance of managing potential conflicts of interest and the key elements that form part of a conflict management policy.
Competition Compliance (UK and Europe)
European competition laws impose a set of rules and penalties that are designed to discourage anti-competitive practices. This course provides a practical overview of these rules.
Information Security (UK and Europe)
This course will raise employee awareness of the importance of information security and prompt recognition of security threats and the measures that can be taken to keep data secure.
The Spirit of Compliance – Middle East
This course aims to provide all staff working in financial institutions with an understanding of the importance of ethical behavior and guidance to recognize and prevent questionable conduct.
Information Security – Middle East
This course will raise employee awareness of the importance of information security and prompt recognition of security threats and the measures that can be taken to ensure that data is kept secure.
FSA Rules
Senior Management (UK)
The aim of the course is to provide those occupying or due to occupy significant influence functions with an understanding of the FSA's regulatory approach and the obligations the regulator places on senior managers.
Complaints Handling (UK)
This course provides details of how to deal with customer complaints and the consequences of failing to manage effectively the complaints handling process.
Advising and Selling (UK)
The course is designed to provide learners with an understanding of the FSA's advising and selling rules and the ability to apply them. The course has been updated to reflect the new Markets in Financial Instruments Directive (MiFID) regime.
Client Categorisation (UK)
The aim of this course is to provide learners with an understanding of the client classification process and the ability to apply them. The course has been updated to reflect the new MiFID regime.
Dealing and Managing (UK)
This course explains the rules for professionals dealing with customers and managing their investments. The course has been updated to reflect the new MiFID regime.
Financial Promotion (UK)
The aim of the course is to explain the rules relating to financial promotions to professionals involved in promoting financial products to consumers in the UK. The course has been updated to reflect the new MiFID regime.
Insurance Conduct of Business (UK)
This course is a general introduction to the rules and standards contained within ICOB and how they are applied in practice.
Treating Customers Fairly (UK)
This course introduces all levels of an FSA-regulated firm to the concept of TCF. It ensures that each individual is thinking through the TCF implications of their actions when going about their everyday business.
Client Assets (UK)
This course explains in detail the FSA safekeeping rules for client assets and client money, covering the purpose of the rules as well as providing practical guidance on how the rules should be applied on a day-to-day basis.
MiFID: An Introduction (UK)
Provides an introduction to the European Commission's MiFID which has fundamentally changed the way the capital markets operate across Europe, both in terms of individual participants and in terms of the market infrastructure itself.
Automated Order Routing Systems (UK)
The purpose of this course is to introduce you to some of the generic rules, regulations and responsibilities surrounding automated order routing systems.
Approved Persons (UK)
This course is designed to ensure approved persons are aware of their responsibilities under the FSA regulatory regime. A practical guide to the Statements of Principle is provided along with case studies and examples of behaviour expected by the FSA.
Anti-Money Laundering, Fraud and Market Abuse
Money Laundering and Terrorist Financing (US)
The aim of this course is to provide all staff working in financial institutions with an understanding of US money laundering law, regulation and rules.
Anti-Money Laundering – Canada
The aim of this course is to provide all staff working in financial institutions with an understanding of Canadian money laundering law, regulation and rules.
Anti-Money Laundering – Financial Services (US)
The aim of this course is to provide all staff working in financial services institutions with an understanding of money laundering law, regulation and rules.
Anti-Money Laundering – Global
This course provides comprehensive training in money laundering prevention for all staff and provides an insight into the laws and regulations that apply throughout the world.
Anti-Money Laundering - Investment Firms (UK)
The aim of this course is to provide all staff working in investment firms with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering - Law Firms (UK)
The aim of this course is to provide all staff working in law firms with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering - Accountancy Firms (UK)
The aim of this course is to provide all staff working in accountancy firms with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering - Life Insurance (UK)
The aim of this course is to provide all staff working in life insurance firms with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering - General Insurance (UK)
The aim of this course is to provide all staff working in general insurance firms with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering - Retail Banking (UK)
The aim of this course is to provide all staff working in retail banking with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering - Money Service Businesses (UK)
The aim of this course is to provide all staff working in money services businesses with an understanding of money laundering law, regulation and rules as it applies to their sector.
Anti-Money Laundering – Channel Islands
The aim of this course is to provide all staff working in financial services firms with an understanding of money laundering law, regulation and rules as it applies to the Channel Islands.
Anti-Money Laundering – Ireland
The aim of this course is to provide all staff working in financial services firms with an understanding of money laundering law, regulation and rules as it applies to the Ireland.
Market Abuse (UK)
The aim of this course is to ensure learners know the definition and scope of market abuse, the new measures introduced by the Market Abuse Directive and some of the key issues faced under the new regime. The course also covers the criminal offences of insider dealing and misleading statements and practices.
Fraud Awareness (UK)
The aim of this course is to ensure learners know the definition and scope of market abuse, the new measures introduced by the Market Abuse Directive and some of the key issues faced under the new regime. The course also covers the criminal offences of insider dealing and misleading statements and practices.
Market Abuse – Hedge Funds (UK)
The aim of this course is to ensure learners know the definition and scope of market abuse, the new measures introduced by the Market Abuse Directive and some of the key issues faced under the new regime – in particular by the hedge-fund industry. The course also covers the criminal offences of insider dealing and misleading statements and practices.
Anti-Money Laundering – Middle East
Complinet's Anti-Money Laundering e-learning course provides comprehensive training in money laundering prevention for all firms regulated by the Dubai Financial Services Authority or Dubai International Financial Centre.
Anti-Money Laundering – DFSA
Complinet's Anti-Money Laundering e-learning course provides comprehensive training in money laundering prevention for all firms. This course puts particular focus on DFSA regulations.
Anti-Money Laundering – Singapore
The aim of this course is to provide all staff working in financial institutions with an understanding of Singaporean money laundering law, regulation and rules.
Anti-Money Laundering – Australia
The aim of this course is to provide all staff working in financial institutions with an understanding of Australian money laundering law, regulation and rules.
Anti-Money Laundering – Asia Pacific
The aim of this course is to provide all staff working in financial institutions with an understanding of money laundering law, regulation and rules across the Asia Pacific region.
