interactive
CPD Certified - FCA Compliance Refresher for Investment Firms - 2024/25 (0.75 points)
RQC Group
Updated Jul 06, 2025
What you'll learn
- Identify key FCA compliance concepts
- Apply appropriate actions for compliance issues
- Understand personal and employer compliance responsibilities
Course Description
This course provides a refresher of key FCA compliance concepts that relate both to the individual‘s employer and to the individual in a personal capacity.
The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.
This module is suitable for anyone that works for a FCA-regulated Investment Firm, aside from Senior Managers (who should instead take the module ‘Compliance Refresher for Senior Managers at Investment Firms’.
Compliance
This course is worth 0.75 CPD points
