Conduct of Business Sourcebook Essentials

This course equips you with the knowledge and practical skills to navigate the complex world of the FCA’s Conduct of Business Sourcebook (COBS).


This course equips you with the knowledge and practical skills to navigate the complex world of the FCA’s Conduct of Business Sourcebook (COBS). Whether you’re a seasoned professional or just starting out, this in-depth training will empower you to:

Grasp the core principles of COBS:
  • Gain a thorough understanding of the regulatory framework governing financial promotions, client relationships, and product governance.
Demystify key concepts:
  • Decode essential terminology like “fair, clear, and not misleading,” “suitability,” and “best execution.”
Navigate client categorization:
  • Master the process of accurately classifying clients based on their knowledge, experience, and risk appetite.
Conduct due diligence:
  • Learn how to assess and document investment recommendations, ensuring appropriateness for each client.
Stay compliant:
  • Develop a robust understanding of record-keeping requirements and reporting obligations.
Build confidence:
  • Put your learning into practice with interactive case studies and real-world scenarios.
Sharpen your communication skills:
  • Master the art of communicating complex financial information clearly and concisely to clients.
Learning Objectives:

By the end of this course, you will be:
  • Knowledgeable of COBS compliance and able to confidently navigate the regulatory landscape.
  • Empowered to build strong, trust-based relationships with your clients.
  • Equipped to make sound, informed investment recommendations.
  • Prepared to excel in your financial services career.

Training Duration

This course may take up to 6 hours to be completed. However, actual study time differs as each learner uses their own training pace.



This course is ideal for anyone wishing to be introduced to the characteristics of best execution and the respective regulatory environment. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation (such as the FCA etc).


Training Method

The course is offered fully online using a self-paced approach. The learning units are based on interactive reading material. Learners may start, stop and resume their training at any time.

At the end of the training, participants take a Quiz to complete their learning and earn a Certificate of Completion.


Registration and Access

To register to this course, click on the ”Add to Cart” 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.

If you wish to receive an invoice instead of paying online, please contact us at

Access to the course is valid for 180 days.

This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution.

The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 6 CPD Units that approve education in financial regulation, such as the FCA.

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

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