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Financial Services and Law Firms

Data Law Limited

Summary

Price
£96 inc VAT
Or £32.00/mo. for 3 months...
Study method
Online
Duration
1 hour · Self-paced
Qualification
No formal qualification
Additional info
  • Tutor is available to students

Overview

Learning Outcomes

  • On completion of this course you will have a greater understanding of the following:

    • The importance of compliance with financial services legislation
    • Financial services activities
    • The roles of the Financial Conduct Authority and the SRA
    • The SRA Handbook requirements
    • Financial services and the firm’s compliance regime

What is the target audience?

  • Practitioners

Description

Although you and your firm may offer a variety of financial services to your clients, do you understand and more importantly are you complying with Financial Conduct Authority guidelines?

The financial service industry is subject to stringent regulation by the Financial Conduct Authority (FCA). If your firm specialises in conveyancing, personal injury, litigation or private client, it is likely that you offer financial services to your clients, however it is highly unlikely that you are directly regulated or authorised by the FCA to do so.

In order to continue to provide financial services without risk of breaching FCA legislation, it is vital that you understand the Financial Services and Markets Act 2000 and related secondary legislation, as it applies to your business.

Aimed at COLP's and anyone with compliance and risk management responsibilities and solicitors who engage in financial services activities, this webinar will provide you with an understanding of SRA requirements, prohibitions and restrictions.

Experienced lecturer and former SRA and Law Society advisor Tracey Calvert will discuss the SRA Handbook requirements and why financial services compliance must form part of your firm’s risk management and compliance strategy.

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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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