Global

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.

See the live deckSee the full outline
Try the coursePreview the survey
Length
45 min
Lessons
6 lessons
Frequency
At onboarding for advisers
Last reviewed
21 Oct 2026
Grey areas: vulnerable customers, pressure and "just sign here"
What would you do?

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.

IDObjectiveSourceWhere it's covered
TO 383.0Achieve ≥ 80% on the final assessmentNoneWhole course
SO 383.1Explain why selling in a regulated or high-trust sector carries extra duties to the customerSector rules your sector rules link [secondary]Whole course
SO 383.2Gather and record a customer's situation, needs and constraints before recommending anythingBest practice; sector rulesWhole course
SO 383.3Test whether a recommendation is suitable or appropriate for this customer and say whyMiFID II suitability (investments); Insurance Distribution Directive (EU) [secondary]; SEC Regulation Best Interest (US) [secondary]Whole course
SO 383.4Disclose what the customer needs to know, in plain words, at the right timeFCA Consumer Duty (UK) [secondary]; organisation's disclosure checklistWhole course
SO 383.5Recognise a vulnerable customer or pressure, slow down and escalateBest practice; organisation's policyWhole course
SO 383.6Keep a clear record, handle a complaint and escalate to the right personOrganisation's policyWhole 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.

ContentInteractiveVideoYou customise
1

Why selling here is not like selling anything else

3 pages

9 min
Before you beginNoteList
An invented storyTextImage
What matters most here?ChecklistKey factQuiz
2

Understanding the customer's situation and needs

3 pages

9 min
What to find outTabs
Good questionsFlashcardsText
CheckMatching quizQuizNote
3

Suitability, appropriateness and what must be disclosed

3 pages

9 min
The suitability testProcess
Disclosure at the right timeTimelineYour info
Rules in outlineAccordionYour infoChecklistMulti-select quiz
4

Grey areas: vulnerable customers, pressure and "just sign here"

3 pages

9 min
ScenarioScenario
ScenarioScenario
ScenarioScenarioQuiz
5

Records, complaints and escalation

2 pages

6 min
Who to ask and how to raise itProcessYour infoYour infoYour infoYour infoYour info
What to recordAccordionNoteQuiz
6

Final assessment

1 page

3 min
PracticeQuizKey factNoteButtonYour info

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.

ContentTitle, agenda, "not legal or professional advice; sector rules differ
PollHow confident are you that every recommendation you make is suitable?
ContentThe five steps of suitability and disclosure in outline
QuizA customer asks for the cheapest cover and has a gap. First step? (Ask about their situation ✔)
QuizTwo products fit; one pays more. You… (Recommend the better fit and explain why ✔)
Content · customiseCustomise: our sector rules {{SECTOR_RULES_LINK}} and disclosure checklist {{DISCLOSURE_CHECKLIST_LINK}}
QuizA customer says "you choose, I trust you". You… (Slow down and explain in plain words ✔)
ScaleHow confident are you spotting a vulnerable customer?" 1 to 5
ContentRecord, complain, escalate
Open-endedA signal that tells me to slow down
Q&AAsk the trainer anything
Content · customiseClosing {{SALES_ENABLEMENT_CONTACT}}, {{COMPLIANCE_CONTACT}}, {{SURVEY_1_URL}}, {{SURVEY_2_URL}}
Post-course feedback: 11 questions, about 2 min
  1. Overall rating 5 stars
  2. Relevant, realistic, right length, helpful activities agree/disagree grid
  3. What was most useful? multi-select
  4. Confidence before this course, and now 1-5 scale
  5. How confident are you in your answers on disclosure? 1-5 scale
  6. Have you used the disclosure checklist since the course? multiple choice
  7. Which step of your conversations have you changed? short text
  8. I would pass up a sale that was not right for the customer without worrying about the consequences. 1-5 scale
  9. One thing we should change or add open text
  10. Would you recommend this course? NPS
30-day check-in
  1. Have you used what you learned since the course? multiple choice
  2. How confident are you today? Compare with day 1 1-5 scale
  3. Do you know where to find the disclosure checklist and the compliance contact? yes / no / not sure
  4. A moment where the training helped, or where you weren't sure open text
  5. 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.

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Ready to run it?

Open the live deck to see how the session runs alongside the course and both surveys.

See the live deck