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Diploma in UK Financial Regulations & Professional Integrity
Online Training Academy

Special Offers | CPD Accredited ! Free Certification | Lifetime Access | No Hidden Fees

Summary

Price
Save 76%
£24 inc VAT (was £100)
Offer ends 02 February 2026
Study method
Online, On Demand
Duration
3.1 hours · Self-paced
Qualification
No formal qualification
CPD
10 CPD hours / points
CPD What's this?
Certificates
  • CPD Certificate - Free
  • Reed Courses Certificate of Completion - Free
Additional info
  • Tutor is available to students
9 students purchased this course

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Overview

Updated in October 2025

Special Offer: [ Get Free Lifetime 50% Off with Coupon Code For Next Order ]

Want to understand how the money world in the UK is controlled and how to act responsibly? Our "Diploma in UK Financial Regulations & Professional Integrity" course makes it simple!

You'll learn about:

  • How the financial markets in the UK work and what influences them.
  • How to assess financial services and understand the risks involved in the UK.
  • The basic rules about agreements and managing assets legally.
  • What it means to be ethical and have professional integrity in your work.
  • The organizations that oversee financial services in the UK.
  • The main rules and ideas from the FCA and PRA – the key regulators for UK finance.
  • How the FCA and PRA make sure companies and individuals are capable.
  • Following the rules to prevent financial crime in the UK.
  • Straightforward ways to handle customer issues and solve problems.
  • Understanding the FCA's guide (COBS) on how financial businesses should operate fairly.

With job opportunities abound in the UK, ranging from compliance officers to financial analysts, possessing expertise in UK Financial Regulations & Professional Integrity opens doors to lucrative careers, with salaries averaging around £50,000 annually. Moreover, this diploma equips individuals with a competitive edge, providing a deep understanding of regulatory frameworks, ethical considerations, and risk management strategies.

By mastering these concepts, professionals can navigate complex financial landscapes with confidence, ensuring compliance with regulations while upholding the highest standards of integrity and professionalism. Ultimately, the UK Financial Regulations & Professional Integrity Level 4 Diploma Course not only enhances career prospects but also fosters a culture of trust and reliability essential for a thriving financial ecosystem.

Key Features:

  • CPD Accredited
  • Free Certificate from Reed
  • Developed by Specialist
  • Lifetime Access

Certificates

CPD Certificate

Digital certificate - Included

Reed Courses Certificate of Completion

Digital certificate - Included

Will be downloadable when all lectures have been completed.

CPD

10 CPD hours / points
Accredited by CPD Quality Standards

Curriculum

2
sections
21
lectures
3h 6m
total

    • 1: Module 01: Grasping the Dynamics of Financial Markets in the UK 08:00
    • 2: Module 02: Evaluating Financial Services & Risk in the UK Context 09:00
    • 3: Module 03: Understanding the Legal Framework of Contracts & Trusts 11:00
    • 4: Module 04: Professional Ethics and Conduct 11:00
    • 5: Module 05: Oversight Bodies in UK Financial Services 10:00
    • 6: Module 06: Governance, Principles, and Regulations of FCA and PRA 08:00
    • 7: Module 07: Assessing the Competence of Companies under FCA and PRA 08:00
    • 8: Module 08: Compliance with Financial Crime Regulations 11:00
    • 9: Module 09: Handling Complaints and Resolving Disputes 10:00
    • 10: Module 10: Navigating the FCA Conduct of Business Sourcebook (COBS) 09:00
    • 11: CPD Certificate - Free 01:00
    • 12: Assignment 01:00
    • 13: Leave A Review 01:00

    • 14: GDPR Explained 09:50
    • 15: Development of Anti-Money Laundering Regulations 10:38
    • 16: KYC, AML, and Data Privacy Regulations for Businesses Operation in the UK 11:29
    • 17: Customer Due Diligence 11:57
    • 18: Suspicious Conduct and Transactions 11:37
    • 19: Fraud Prevention Techniques 13:51
    • 20: Compliance Management System (CMS) 10:52
    • 21: Risk Management Process 07:37

Course media

Description

This course breaks down the essentials of UK Financial Regulations and Professional Integrity in plain language. If you work or plan to work in the UK financial sector, understanding these rules and acting with integrity is crucial for success. Gain a strong foundation in UK Financial Regulations and Professional Integrity! Learn the importance of Professional Integrity within the UK financial industry! Master the fundamentals of UK Financial Regulations! Understand the role of Professional Integrity in maintaining trust in UK finance! Your path to understanding UK Financial Regulations and Professional Integrity starts here! Develop a strong ethical compass with our Professional Integrity training for the UK financial market! Explore the core principles of UK Financial Regulations! Build a career on a foundation of Professional Integrity within the UK financial landscape! Learn the practical aspects of UK Financial Regulations and Professional Integrity! Become a knowledgeable and trustworthy professional in the UK financial world by understanding Financial Regulations and Professional Integrity!

Course Curriculum:

  • Module 01: Grasping the Dynamics of Financial Markets in the UK
  • Module 02: Evaluating Financial Services & Risk in the UK Context
  • Module 03: Understanding the Legal Framework of Contracts & Trusts
  • Module 04: Professional Ethics and Conduct
  • Module 05: Oversight Bodies in UK Financial Services
  • Module 06: Governance, Principles, and Regulations of FCA and PRA
  • Module 07: Assessing the Competence of Companies and Individuals under FCA and PRA
  • Module 08: Compliance with Financial Crime Regulations
  • Module 09: Handling Complaints and Resolving Disputes
  • Module 10: Navigating the FCA Conduct of Business Sourcebook (COBS)

Additional Learning Materials

  • Understanding GDPR (General Data Protection Regulation)
  • Evolution of Anti-Money Laundering Laws
  • Regulatory Landscape: KYC, AML, and Data Privacy for UK Businesses
  • Conducting Customer Due Diligence
  • Identifying Suspicious behaviour and Transactions
  • Strategies for Fraud Prevention
  • Implementing a Compliance Management System (CMS)
  • Navigating the Risk Management Process

Learning Outcomes:

  • Understand UK financial markets dynamics and risks assessment.
  • Demonstrate proficiency in legal frameworks governing contracts and trusts.
  • Apply ethical principles and conduct in financial services contexts.
  • Identify and comprehend oversight bodies within UK financial services.
  • Analyze and adhere to governance regulations set by FCA and PRA.
  • Navigate through FCA's Conduct of Business Sourcebook (COBS) effectively.

Who is this course for?

This UK Financial Regulations & Professional Integrity course is accessible to anyone eager to learn more about this topic. Through this course, you'll gain a solid understanding of UK Financial Regulations & Professional Integrity. Moreover, this course is ideal for:

  • Individuals aspiring to work in financial services.
  • Professionals seeking to advance their career in the UK finance sector.
  • Graduates aiming to gain expertise in financial regulations.
  • Those looking to enhance their understanding of professional ethics.
  • Anyone interested in compliance and governance within financial services.

Requirements

There are no requirements needed to enrol into this UK Financial Regulations & Professional Integrity course. We welcome individuals from all backgrounds and levels of experience to enrol into this UK Financial Regulations & Professional Integrity course.

Career path

After finishing this UK Financial Regulations course you will have multiple job opportunities waiting for you. Some of the following Job sectors of UK Financial Regulations are:

  • Compliance Officer - £30K to 60K/year.
  • Risk Analyst - £35K to 70K/year.
  • Financial Advisor - £25K to 50K/year.
  • Legal Consultant in Finance - £40K to 80K/year.
  • Financial Crime Investigator - £35K to 65K/year.

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Legal information

This course is advertised on Reed.co.uk by the Course Provider, whose terms and conditions apply. Purchases are made directly from the Course Provider, and as such, content and materials are supplied by the Course Provider directly. Reed is acting as agent and not reseller in relation to this course. Reed's only responsibility is to facilitate your payment for the course. It is your responsibility to review and agree to the Course Provider's terms and conditions and satisfy yourself as to the suitability of the course you intend to purchase. Reed will not have any responsibility for the content of the course and/or associated materials.

FAQs

Study method describes the format in which the course will be delivered. At Reed Courses, courses are delivered in a number of ways, including online courses, where the course content can be accessed online remotely, and classroom courses, where courses are delivered in person at a classroom venue.

CPD stands for Continuing Professional Development. If you work in certain professions or for certain companies, your employer may require you to complete a number of CPD hours or points, per year. You can find a range of CPD courses on Reed Courses, many of which can be completed online.

A regulated qualification is delivered by a learning institution which is regulated by a government body. In England, the government body which regulates courses is Ofqual. Ofqual regulated qualifications sit on the Regulated Qualifications Framework (RQF), which can help students understand how different qualifications in different fields compare to each other. The framework also helps students to understand what qualifications they need to progress towards a higher learning goal, such as a university degree or equivalent higher education award.

An endorsed course is a skills based course which has been checked over and approved by an independent awarding body. Endorsed courses are not regulated so do not result in a qualification - however, the student can usually purchase a certificate showing the awarding body's logo if they wish. Certain awarding bodies - such as Quality Licence Scheme and TQUK - have developed endorsement schemes as a way to help students select the best skills based courses for them.
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