Selling regulated and high-trust products: Suitability, disclosure and fair conduct
A ready-made course you customise for your organisation, with a live session deck and two surveys. You only add the 11 details that are specific to your organisation.
- Length
- 45 min
- Lessons
- 6 lessons
- Frequency
- At onboarding for advisers
- Last reviewed
- 21 Oct 2026
An older customer says "you decide, I trust you" and cannot say what the product does
Try it: this is one of 17 interactive activities in the course.
What's included
Three pieces that work together
Copy once, get everything. Learners prepare on their own, you answer questions live, and the surveys tell you what stuck.
Self-paced course
Short lessons with real workplace scenarios, not walls of text.
- 6 lessons, about 45 minutes
- Scenario, process, accordion, tabs and quizzes
Live session deck
An AhaSlides presentation to run after the course, in person or online.
- 12 slides
- Quiz, poll, scale, open-ended slides
- A closing slide for your contacts
Two surveys
Find out what landed, and whether people use it on the job.
- Post-course feedback, about 2 minutes
- 30-day check-in
- Anonymous by default
- Results feed your next refresher
Learning objectives
At the end of this course, learners can
Each objective and the lesson that covers it.
| ID | Objective | Source | Where it's covered |
|---|---|---|---|
| TO 383.0 | Achieve ≥ 80% on the final assessment | None | Whole course |
| SO 383.1 | Explain why selling in a regulated or high-trust sector carries extra duties to the customer | Sector rules your sector rules link [secondary] | Whole course |
| SO 383.2 | Gather and record a customer's situation, needs and constraints before recommending anything | Best practice; sector rules | Whole course |
| SO 383.3 | Test whether a recommendation is suitable or appropriate for this customer and say why | MiFID II suitability (investments); Insurance Distribution Directive (EU) [secondary]; SEC Regulation Best Interest (US) [secondary] | Whole course |
| SO 383.4 | Disclose what the customer needs to know, in plain words, at the right time | FCA Consumer Duty (UK) [secondary]; organisation's disclosure checklist | Whole course |
| SO 383.5 | Recognise a vulnerable customer or pressure, slow down and escalate | Best practice; organisation's policy | Whole course |
| SO 383.6 | Keep a clear record, handle a complaint and escalate to the right person | Organisation's policy | Whole course |
Your part: what a template can't do for you
- Your workplace details: fill in the 11 highlighted fields so the course describes your own policies, contacts and locations.
- Records: record completion in your own LMS or record system.
Course outline
6 lessons, about 45 minutes
Minutes per lesson are an estimate, shared out by page count.
1Why selling here is not like selling anything else
3 pages
9 min
Why selling here is not like selling anything else
3 pages
2Understanding the customer's situation and needs
3 pages
9 min
Understanding the customer's situation and needs
3 pages
3Suitability, appropriateness and what must be disclosed
3 pages
9 min
Suitability, appropriateness and what must be disclosed
3 pages
4Grey areas: vulnerable customers, pressure and "just sign here"
3 pages
9 min
Grey areas: vulnerable customers, pressure and "just sign here"
3 pages
5Records, complaints and escalation
2 pages
6 min
Records, complaints and escalation
2 pages
6Final assessment
1 page
3 min
Final assessment
1 page
Live deck and surveys
12 slides to run live, two surveys to close the loop
Pink slides are interactive. Both surveys are anonymous; pink questions are written for this course.
Post-course feedback: 11 questions, about 2 min
- Overall rating 5 stars
- Relevant, realistic, right length, helpful activities agree/disagree grid
- What was most useful? multi-select
- Confidence before this course, and now 1-5 scale
- How confident are you in your answers on disclosure? 1-5 scale
- Have you used the disclosure checklist since the course? multiple choice
- Which step of your conversations have you changed? short text
- I would pass up a sale that was not right for the customer without worrying about the consequences. 1-5 scale
- One thing we should change or add open text
- Would you recommend this course? NPS
30-day check-in
- Have you used what you learned since the course? multiple choice
- How confident are you today? Compare with day 1 1-5 scale
- Do you know where to find the disclosure checklist and the compliance contact? yes / no / not sure
- A moment where the training helped, or where you weren't sure open text
- Which topics should the next refresher focus on? ranking
Results show whether people use the training on the job, not just whether they finished it.
Make it yours
11 fields to fill in, and you're ready
Everything else is done. These are the details only your organisation knows; each one is highlighted inside the course.
- Sector rules link
{{SECTOR_RULES_LINK}} - Disclosure checklist link
{{DISCLOSURE_CHECKLIST_LINK}} - Vulnerable customer policy link
{{VULNERABLE_CUSTOMER_POLICY_LINK}} - Complaints route
{{COMPLAINTS_ROUTE}} - Escalation route
{{ESCALATION_ROUTE}} - Compliance contact
{{COMPLIANCE_CONTACT}}
Show all 11 fields
- Sales enablement contact
{{SALES_ENABLEMENT_CONTACT}} - Sales playbook link
{{SALES_PLAYBOOK_LINK}} - LMS or record system
{{LMS_OR_RECORD_SYSTEM}} - Survey 1 URL
{{SURVEY_1_URL}} - Survey 2 URL
{{SURVEY_2_URL}}
FAQ
Common questions
Can I run selling regulated and high-trust products: Suitability, disclosure and fair conduct training online?
The course itself is self-paced and online, and the live deck lets you add a live session. Whether online delivery meets your local rules depends on the law that applies to you, so check the rules that apply to you or ask your own counsel.
How often is this training needed?
At onboarding for advisers, before a new regulated product launches, annually for sellers of regulated or high-trust products.
Who needs this training?
Advisers and sellers of insurance, banking, investments, real estate, pharma and funeral or care services; run by L&D with compliance and the sales director.
What records should I keep?
Record completion in your own LMS or record system, so you can show who finished the course and when. Check the retention period that applies to you in the rules that apply to you.
Can I edit the content?
Yes, everything. Change the wording, swap scenarios for ones from your workplace, add your logo, or remove parts that don't apply. Keep anything your own law requires you to cover.
Related templates
Often taught together
Responsible lending, credit assessment and collections
Loan officers · Banking & Financial Services Training
Investment advice: Client risk profiling and suitability
Private bankers · Banking & Financial Services Training
Life, health and pension advice: Needs-based selling and product rules
Insurance agents and advisers · Banking & Financial Services Training
General insurance product knowledge and policy servicing
Customer-service agents · Banking & Financial Services Training
Ready to run it?
Open the live deck to see how the session runs alongside the course and both surveys.