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Financial Regulation: The International Regulatory Environment


London Governance & Compliance Academy

Summary

Price
£75 inc VAT
Or £25.00/mo. for 3 months... Read more
Study method
Online, self-paced
Duration
2 hours
Access to content
1 year
Qualification
No formal qualification
Additional info
  • Certificate of completion available and is included in the price

1 student purchased this course

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Overview

A key component to the development of financial markets is to agree standards of behaviour and provide mechanisms for dispute resolution. These standards, rules and codes of conduct may be established through self-regulation of the industry, or by means of a statutory approach where governments provide enabling legislation and establish statutory-based regulatory authorities.

Description

Integrity and ethical behaviour are key parts of any code of conduct and have, as a result of the financial crisis, experienced renewed focus from professional bodies, governments and regulators. As financial markets have become increasingly global in nature and interdependence has grown, the financial sector has moved from self-regulation to a statutory approach. This has facilitated international cooperation and the development of improved and common standards.

The objectives and benefits of regulation is summarised as follows:

• increase in confidence and trust in financial markets, systems and products
• establish an environment to encourage economic development and wealth creation
• reduce the risk of market and system failures including their economic consequences
• enhance consumer protection, giving them the reassurance they need to save and invest, and
• reduce financial crime by ensuring financial systems cannot easily be exploited.

By attending this course participants will be able to understand the objectives and benefits of regulation and the various agencies that make up the current international and national regulatory environment.

Training Duration

This course may take up to 2 hours to complete. However, actual study time differs as each learner uses their own training pace.

Training Method

The course is offered fully online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop and resume their training at any time.

At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion once all quizzes have been passed successfully.

Accreditation and CPD Recognition

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 may be accredited by financial regulators, such as FCA and general financial training accreditation bodies, such as CISI, for 2 CPD Units.

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

Who is this course for?

This course is ideal for anyone wishing to know the essentials of financial regulation and the international regulatory environment, and the regulatory requirements for investment firms, insurance and banking institutions. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation (such as the FCA etc).

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FAQs

What does study method mean?

Study method describes the format in which the course will be delivered. At reed.co.uk 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.

What are CPD hours/points?

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.co.uk, many of which can be completed online.

What is a ‘regulated qualification’?

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.

What is an ‘endorsed’ course?

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 ABC Awards and TQUK - have developed endorsement schemes as a way to help students select the best skills based courses for them.

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