Course description
Foundation in FCA Regulation (Live Online) - In House Training
This focused course will provide a clear and easily digestible overview of the new FCA regulatory framework (touching also on the role of the PRA) and highlight the key requirements for firms and individuals. The emphasis will be on the practical implications of the regulations in the day to day business environment.
Upcoming start dates
Choose between 2 start dates
Suitability - Who should attend?
This course will be of immediate and lasting value if you:
- Are new to the Compliance function
- Have recently joined the financial services industry and need to understand how regulation works
- Are moving to a role requiring greater regulatory knowledge
- Are in a Risk management function and need to assess the risks associated with regulation
- Have become a Senior Manager and want to understand the bigger compliance picture.
Outcome / Qualification etc.
CPD hours: 6
- Understand the extent of the scope, powers and priorities of the FCA and PRA and what this means in practice
- Recognise the regulatory obligations on individuals and organisations under both principles and rules
- Understand the scope and depth of FCA guidance and how to apply it
- Explore the scope and application of core elements of the FCA Handbook
- Review the FCA’s approach to discipline and enforcement, learning lessons from recent examples
- Examine the key rules and expectations relating to how you deal with customers, including conduct risk and 'Treating Customers Fairly'
- Identify current regulatory themes and developments and how they may affect you and your firm
- Improve your knowledge of and ability to manage regulatory risks in your business
Course delivery details
The course programme will comprise a blend of trainer presentations, group discussion, practical examples and case studies. There will be ample opportunity for questions, experience sharing and networking. All course materials (and at face-to-face events, refreshments and lunch) will be provided.
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