Compliance and Regulatory Practice

Build a compliance programme that survives a regulator's attention.

What the course covers

8 modules, 32 topics. Open any one to see what sits inside it.

1. 1.1 What compliance is, and what it is not
2. 1.2 Regulators, supervisors and their powers
3. 1.3 Three lines of defence
4. 1.4 Where compliance reports, and why that matters
1. 2.1 Regulatory mapping and an obligations register
2. 2.2 Policies, procedures and standards
3. 2.3 Roles, resourcing and authority
4. 2.4 Board and senior management responsibility
1. 3.1 A method for compliance risk assessment
2. 3.2 Inherent and residual risk
3. 3.3 Designing controls
4. 3.4 Prioritising when resources are limited
1. 4.1 Anti-money laundering and knowing your customer
2. 4.2 Bribery, corruption and gifts
3. 4.3 Sanctions screening
4. 4.4 Competition and market conduct
1. 5.1 Conduct risk and customer outcomes
2. 5.2 Incentives that manufacture misconduct
3. 5.3 Training that changes behaviour
4. 5.4 Speak-up channels and whistleblowing
1. 6.1 Control testing and monitoring plans
2. 6.2 Management information and reporting
3. 6.3 Internal audit's separate role
4. 6.4 Regulatory reporting obligations
1. 7.1 Internal investigations
2. 7.2 Privilege inside an investigation
3. 7.3 Deciding whether to self-report
4. 7.4 Remediation, and learning from it
1. 8.1 The supervisory relationship
2. 8.2 Information requests and inspections
3. 8.3 Enforcement, penalties and settlement
4. 8.4 Keeping a programme current as rules change

By the end of this course you will be able to explain and apply:

Two hours, not two months Eight short modules. Finish in a day, or do one module a night for a week.

Depth beyond your coursework Pitched above taught content, for research, leadership and the work that follows the degree.

Built for a phone Watch on the bus, pause mid-module, pick up where you stopped. No download, no lab.

A certificate that can be checked Every certificate carries an ID your college or an employer can verify on our site.

About two hours in total — eight modules of roughly fifteen minutes. You can do it in one sitting or spread it across a week. Your place is saved either way.
No. There is no prerequisite course and no software to install. A phone, tablet or computer with an internet connection is enough.
Yes. This course is placed at Master's Degree for India, and the content is written for that level. If you are at a different stage, change your level at the top of the page and the courses will change with it.
A certificate for the course, carrying an ID that your college or an employer can check on our verification page. You keep access to the material afterwards.
Yes — ₹450 for this course on its own, or ₹1,450 for all five in this set, which works out cheaper if you want more than one.
There is a short quiz at the end of each module so you can check what stuck. It is not timed and you can retake it.
Change your country using the picker at the top. Level names, degree names and prices all switch to that country, and the courses adjust to its education system.

Wording shown for India. Pick a different country at the top and the terms, currency and programme names change with it.