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Financial Services and Law Firms

Data Law Limited


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

1 student purchased this course

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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


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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What does study method mean?

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.

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 Courses, 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 Quality Licence Scheme and TQUK - have developed endorsement schemes as a way to help students select the best skills based courses for them.