Finance and CPD in Regulatory Compliance → MiFID II / MiFIR

Treating Customers Fairly and Handling Complaints in the Financial Services Sector (TCFHC1904H120)


Description
With the preservation of a strong consumer protection focus by the Central Bank, ‘Complaints Handling’ and ‘Treating Customers Fairly’ (under the Consumer Protection Code) is a priority for customer/consumer-facing firms.

Using current case studies, this course is essential for firms wishing to demonstrate their understanding of, and compliance with, these important principles and integrate these into their businesses and culture. This course covers the complaints procedures. This course will also be of benefit to MiFID firms as there is no underlying rule on how these firms must handle complaints under the MiFID Regulations.

Description

This course will help you to increase your knowledge in theory and practice about how to treat your customers fairly and in a compliant manner. It will also provide a sound grounding in the complaints handling procedure based on the financial regulations. It also addresses specific information and guides to management information and the Ombudsman.

Training Duration

This course may take up to 5 hours to be completed. However, actual study time differs as each learner uses their own training pace.

Participants

This course is ideal for anyone wishing to understand how to achieve a fair customer treatment and complaints handling process based on the respective regulatory environment. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation.

Training Method

The course is offered fully online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop and resume their training at any time.

At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion upon completion of all units.

Accreditation and CPD Recognition

This programme has been developed by the European Institute of Management and Finance (EIMF), a globally-recognised training institution.

The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 5 CPD Units that require CPD training in financial regulation. The course may be also approved for 2 CPD Units by institutions which approve general ethics and financial training, such as the CISI, ICA, and ACAMS.

Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

Registration and Access

To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment.

Access to the course is valid for 90 days.

If you wish to receive an invoice instead of paying online, please Contact us here. Talk to us for our special Corporate Group rates.
Content
  • Basic Concepts of Treating Customers Fairly and Handling Complaints
  • Basic Concepts of TCF and HC Training Content
  • Basic Concepts of TCF and HC Multiple-Choice Questions
  • Achieving a Fair Deal for Consumers
  • Achieving a Fair Deal for Consumers Training Content
  • Achieving a Fair Deal for Consumers Multiple-Choice Questions
  • A Guide to Management Information
  • A Guide to Management Information Training Content
  • A Guide to Management Information Multiple-Choice Questions
  • TCF Procedure, Disclosure and Identification
  • TCF Procedure, Disclosure and Identification Training Content
  • TCF Procedure, Disclosure and Identification Multiple-Choice Questions
  • Identification, Investigation, Assessment and Reporting
  • Identification, Investigation, Assessment and Reporting Training Content
  • Identification, Investigation,Assessment and Reporting Multiple-Choice Questions
  • Ombudsman CySEC Guide
  • Ombudsman CySEC Guide Training Content
  • Ombudsman CySEC Guide Multiple-Choice Questions
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: Forever