Regulatory Fundamentals for the Financial Services Sector

Learn about the regulations in financial services sector and the most commonly used financial products

European Institute of Management and Finance


£275 inc VAT
Or £45.83/mo. for 6 months... Read more
Study method
Online, self-paced
15 Hours
Access to content
3 Months
No formal qualification
Additional info
  • Certificate of completion available and is included in the price

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Effective capital and financial markets are an essential component of both developed and developing economies. They fuel economic development and help with the creation of wealth. Keep in mind that confidence and trust in these markets is vital to these economies’ long-term success and stability. A sudden loss of confidence and trust can lead to the failure of the financial companies involved and will have an adverse impact on the economy.

Additionally, this loss of confidence and trust may lead to a reduction in employment opportunities available to local professionals. Often, both the collapse of large financial institutions and the difficulties faced by others have been highly detrimental to many developed economies. Subsequent bank and government bailouts, as well as the impact caused by cuts in government spending and tax hikes, have affected millions of people across the world.

Course media


Learning Outcome

This self-paced online course will expand and sharpen your knowledge and understanding of the main regulations governing the financial sector. More specifically, it will provide an overview of:

  • Markets in Financial Instruments Directive and Regulation (MiFID II and MiFIR)
  • European Market Infrastructure Regulation (EMIR)
  • Anti-Money Laundering (AML)
  • Market Abuse Regulation (MAR)
  • Alternative Investment Fund Managers Directive (AIFMD)
  • Undertakings for Collective Investment in Transferable Securities Directive (UCITS)
  • Ethics and Compliance
  • General Data Protection Regulation (GDPR)

Learning Method

This training course is completed online at your own time and pace. The units consist of video-led and reading materials, as well as auto-marked assessments that aid the comprehension of the knowledge gained.

Accreditation and CPD Recognition

This programme has been developed by the European Institute of Management and Finance (EIMF), one of the most successful providers of finance and management learning solutions. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 15 CPD Units. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

Certificate of Completion

Upon completion of all learning units and the auto-marked assessments, you will receive electronically a Certificate of Completion. A list of topics that were included in the course will be also sent, which can be submitted to your regulator, association or other bodies which you hold membership for CPD recognition, if needed.

Who is this course for?

  • Existing and prospective executives and supervisors of Banks, FCA - EU Regulated Investment Firms
  • Existing and prospective employees of IFs and banks responsible for the provision of investment services
  • Compliance Officers, Internal Auditors, Anti-Money Laundering Compliance Officers and Risk Managers of Investment Firms and banks



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What does study method mean?

Study method describes the format in which the course will be delivered. At 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, 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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