FCA reporting obligations

HMRC reporting obligations (Other Interest & CM100 / IF ISA reporting)

Learn how to prepare and submit:

  • IF ISA statistical returns
  • CM100 reports
  • Other Interest reports

Blockchain Analysis: Unveiling the Digital Ledger

This course will equip you with the knowledge and skills to explore and understand the intricacies of blockchain technology, specifically focusing on analysing transactions and uncovering valuable insights.

Target Audience:

  • Financial professionals, analysts, and investigators.
  • Law enforcement and cybersecurity personnel.
  • Anyone curious about the inner workings of cryptocurrencies and the digital economy.

Course Goals:

  • Gain a strong foundation in blockchain concepts and terminology.
  • Understand different blockchain platforms and their functionalities.
  • Learn how to analyse blockchain transactions and data.
  • Identify patterns and trends in blockchain activity.
  • Explore real-world applications of blockchain analysis in various industries.
  • Develop critical thinking and problem-solving skills for navigating the blockchain landscape.

S21 Crypto FP Approvals - Firm's Policies and Processes

Learn how the regulatory classifies the different types of cryptoassets according to PS23/6: Financial promotion rules for cryptoassets and how this aligns with the rules in connection with RMMI. Topics include:

  1. Understanding the relevant policy statements
  2. The firms policies
  3. The firms processes
  4. Application assessments
  5. External DD reports
  6. Internal Reports
  7. Application Assessment (supporting the board decision)

S21 FP approvals for Restricted Mass Market Investments (PS23/13 + 22/10 + 23/6 +FG23/3)

Learn how to review and approve Financial Promotions (FP) in a variety of different mediums to ensure they carry the appropriate risk warnings and are clear, fair, and not misleading. Remember to review in a constructive manner that trains staff (or 3rd parties) to get it right. Topics include:

  1. Classification of High‑Risk-Investments (HRIs)
  2. Risk Warnings
  3. Ban on incentives to invest
  4. Direct Offer Financial Promotions
  5. Onboarding Frictions
  6. Authenticity and Viability
  7. Sensitive Keywords (best to remove)
  8. Consumer Duty
  9. Using the project tool to track revisions 
  10. Using the s21 Gateway (INCOMPLETE)

Compliance Fundamentals

This course will develop your understanding of the compliance requirements, policies,  systems and controls used by the firm. 

You will be required to go through each module and where necessary complete short understanding and competency tests. Some tests are internally developed whereas others may refer you to a third-party system for lessons, tests, and certification.