Sector
Compliance training for asset & wealth management
Asset and wealth managers must manage market abuse risk, conflicts of interest and financial crime while meeting rising expectations on conduct and consumer outcomes. Our courses are built for the front office and supporting control functions.
Priority courses for asset & wealth management
Market Abuse (MAR)
Market abuse training on the UK MAR for financial services, covering insider dealing, unlawful disclosure, market manipulation and STOR reporting.
Anti-Money Laundering & Counter-Terrorist Financing
CPD-accredited AML training for UK financial services. Sector-tailored scenarios mapped to MLR 2017 and JMLSG help staff spot and report financial crime.
Senior Managers & Certification Regime (SM&CR)
SM&CR training for UK firms covering individual accountability, the Conduct Rules and reasonable steps, helping staff meet FCA and PRA expectations.
Consumer Duty
FCA Consumer Duty training covering the four outcomes and cross-cutting rules, helping every role deliver and evidence good outcomes for retail customers.
Also relevant
Anti-Bribery & Corruption
Anti-bribery training for UK firms, covering the Bribery Act 2010, the firm's obligations, and how to handle gifts, hospitality and third-party risk.
Anti-Harassment & Inclusion
Support a respectful, inclusive workplace and explain responsibilities under the Worker Protection Act and the FCA's focus on non-financial misconduct.
Business Ethics
Strengthen ethical decision-making and conflicts-of-interest awareness, reinforcing the culture and values regulators expect firms to embed.
Client Assets (CASS)
Explain how firms must protect client money and custody assets under the FCA's CASS rules, so they can be returned promptly if the firm fails.
Combating Financial Crime
A single overview of the financial crime landscape, covering money laundering, fraud, bribery and sanctions, and every employee's role in preventing it.
Competition Law
Explain UK competition law in practical terms: what anti-competitive conduct looks like and how to avoid it in everyday business dealings.
Complaints Handling
Ensure staff can identify, record and handle complaints in line with FCA DISP rules and deliver fair outcomes for customers.
Conduct Risk
Help staff recognise conduct risk in their day-to-day decisions and understand how poor conduct leads to customer harm and regulatory action.
FCA Conduct Rules
A focused course on the Individual Conduct Rules and what acting with integrity, due skill and care looks like in real situations.
Cyber Security Awareness
Cyber security training for UK financial services that equips staff to be the first line of defence against phishing, ransomware and social engineering.
Data Protection (UK GDPR)
Data protection training for UK firms: a practical grasp of the UK GDPR, lawful processing, data subject rights and breach response.
Diversity, Equality & Inclusion
Build an inclusive workplace by explaining the Equality Act, tackling bias and discrimination, and showing how diversity supports better outcomes.
FCA & PRA Regulation
An accessible introduction to the UK's regulators: who the FCA and PRA are, what they expect of firms, and how regulation affects everyday work.
Operational Resilience
Operational resilience training for UK firms covering the FCA/PRA framework, important business services, impact tolerances and each team's role.
Financial Sanctions
Financial sanctions training for UK firms, equipping staff to screen against and comply with sanctions regimes, including OFSI obligations.
Sexual Harassment
Explain what sexual harassment is, the employer's preventative duty under the Worker Protection Act, and how to challenge and report it safely.
Supporting Vulnerable Customers
Help staff recognise the drivers of vulnerability and adapt their service to deliver good outcomes, in line with FCA guidance and the Consumer Duty.
Whistleblowing
Build confidence in speaking up, explain the firm's whistleblowing arrangements and the legal protections available to those who raise concerns.
Workplace Health & Safety
Explain everyone's responsibilities for health and safety at work, covering common office and hybrid-working risks under UK law.
Frequently asked questions
- What compliance training do UK asset managers need?
- UK asset managers must train relevant staff on market abuse (UK MAR), SM&CR Conduct Rules, AML and financial crime, Consumer Duty for retail-facing activities, ESG and sustainability disclosure obligations and data protection. Training requirements differ across front office, control functions and distribution roles, and must be kept current as regulations evolve.
- What is market abuse training and why do asset managers need it?
- Market abuse training covers the offences defined in the UK Market Abuse Regulation — insider dealing, improper disclosure, market manipulation and front-running. Asset managers must train analysts, portfolio managers and dealing staff on identifying inside information, when to file a Suspicious Transaction and Order Report, and how to manage information barriers.
- Do wealth managers need SM&CR training?
- Yes. SM&CR applies to all FCA-regulated firms, including wealth and investment managers, since December 2019. All staff subject to the Conduct Rules need training tailored to their tier. Senior managers need training on Statements of Responsibilities; certified persons need annual fitness and propriety training; all other staff need the Individual Conduct Rules.
- What ESG training do UK asset managers need?
- Asset managers with sustainability-related funds must ensure relevant staff understand the FCA's Sustainability Disclosure Requirements, the anti-greenwashing rule and how ESG claims in client communications and fund documentation must be evidenced. Training must stay current as the FCA's SDR and labelling regime continues to develop through 2026.
- How often must asset managers complete compliance training?
- Annual refresher training is the industry standard for core topics including market abuse, SM&CR and AML. Training should also be completed on joining and when regulatory requirements change. Event-driven training is expected following updated FCA guidance, new SDR rules, an internal conduct incident, or whenever an individual changes role.
Further reading
- AML training requirements for UK regulated firms: what the rules say
The Money Laundering Regulations 2017 require ongoing AML training for relevant staff. This guide explains what UK regulated firms must do, how often, and how to evidence it to the FCA.
- What is SM&CR training? Requirements, who needs it, and what the FCA expects
SM&CR training is a regulatory requirement for all UK regulated firms. This guide explains who must train, what the Conduct Rules require, and how to meet FCA expectations across Senior Managers, Certified Persons and all other staff.
- SM&CR reform 2026: what PS26/6 means for your training programme
FCA PS26/6 brings SM&CR Phase 1 reforms in three tranches: April, July and September 2026. This guide explains what each change means for your firm's training programme and what to do before each deadline.
- Keeping compliance training current when the rules keep moving
The regulatory perimeter shifts every year. Here's how to keep mandatory training accurate without rebuilding it from scratch each time.
See the asset & wealth management library in action
Book a short, no-obligation demo and we'll show you the courses and the CityREPORTS platform tailored to your firm.