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Financial Services Regulation - Introduction

BPP Professional Education

Summary

Price
£1,530 inc VAT
Study method
Classroom
Duration
2 days · Full-time
Qualification
No formal qualification
CPD
12 CPD hours / points
CPD What's this?
Additional info
  • Tutor is available to students

Location & dates

Location

Address
Venue may change up to 14-days before the course start date’
9-10 Portland Place
West London
London
W1B1PR
United Kingdom
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Overview

This two-day course provides an overview of the regulatory regime in the UK. In particular, it develops an awareness of how the regulations and applicable statutes affect the operations of investment banking, stockbroking and investment management firms in the UK. No prior knowledge of financial services regulation is assumed. This course does not prepare you for an industry examination.

Venue may change up to 14-days before the course start date. Enquire for dates.

CPD

12 CPD hours / points
Accredited by BPP Professional Education Limited

Description

Learning outcomes include obtaining a greater understanding of:

  • Overview
    • Historical background
    • Role of compliance
    • The FCA handbookand PRA rulebook
  • The Financial Services and Markets Act 2000 (FSMA)(as amended)
    • The regulatory structure
  • The role of the Financial Conduct Authority (FCA)
  • The role of the Prudential Regulatory Authority (PRA)
  • Authorisation
  • Supervision
  • Enforcement
  • Europe
  • The European regulatory structure
  • The implementation and impact of EU Regulationsand Directives
  • Passporting
  • High level standards
  • Principles for businesses / The Fundamental Rules
  • Senior management arrangements systems and controls
  • Senior managersand certification regime (SMCR)
  • Approved persons regime
  • Training and Competence Sourcebook
  • Business standards
  • Conduct of Business Sourcebook (COBS) (NB: does not cover ICOBS, BCOBS or MCOBS)
  • Accepting customers
  • Financial promotions
  • Advising and selling
  • Product disclosure
  • Dealing and managing
  • Customer reporting
  • Prudential standards
    • Capital Requirements Directives (CRD) – overview only
  • Client Assets Sourcebook
  • Custody
  • Client money
  • Redress
  • Dispute resolution (complaints)
  • Compensation
  • Financial crime
  • Insider dealing (CJA 1993)
  • Market manipulation (S 89-91 FSA 2012)
  • Market abuse
  • Market Abuse Directive II / Regulation
  • Money laundering
  • Proceeds of Crime Act 2002 (as amended)
  • Money Laundering Regulations 2017
  • SYSC rules on financial crime
  • JMLSG guidance
  • Regulatory developments
  • Proposed new regulations

Who is this course for?

This course will be of benefit to those who require a practical knowledge of the UK regulatory regime, particularly if you are working in the field of compliance or associated control functions. In view of the provisions regarding senior management responsibility in the UK regime, it is also relevant to those involved in managerial or supervisory functions.

Questions and answers

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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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Similar subjects: Compliance, Accounting and finance