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The Introduction to UK Financial Regulations & Professional Integrity Level 3
Thames College

15 Courses Bundle | CPD Accredited | 15 Free PDF Certificates included | Instant Access

Summary

Price
£100 inc VAT
Or £33.33/mo. for 3 months...
Study method
Online
Duration
60 hours · Self-paced
Access to content
1 year
Qualification
No formal qualification
CPD
150 CPD hours / points
CPD What's this?
Certificates
  • PDF Certificate - Free
  • Hardcopy CPD Certificate - £8.99

Add to basket or enquire

Overview

The financial sector in the UK plays a major role in the economy, contributing significantly to employment, trade, and overall economic stability. Understanding the structure, rules, and professional integrity of financial services is essential for individuals working in or entering the sector.

Financial regulations govern banking, investment, insurance, and other financial services, ensuring transparency, consumer protection, and market stability. Professional integrity within financial services is equally important, as ethical decision-making, compliance with legal frameworks, and accountability maintain public trust in the sector. With increasing regulatory scrutiny and the evolving landscape of financial governance, professionals need to be aware of legal obligations, ethical considerations, and best practices.

This course provides a structured introduction to financial regulations in the UK, offering insight into the frameworks set by the Financial Conduct Authority (FCA), the Prudential Regulation Authority (PRA), and other key regulatory bodies. It also covers risk assessment, financial crime regulations, ethical conduct, and professional responsibilities.

Whether working in finance, compliance, auditing, or risk management, a solid grasp of UK financial regulations enhances career opportunities and ensures compliance with legal and ethical standards. As financial misconduct and regulatory breaches can lead to severe penalties and reputational damage, this course helps professionals develop a responsible approach to financial governance and risk management.

★★★ This bundle includes 15 courses, offering great benefits for learners ★★★

Benefits of Additional Courses in This Bundle:

  • Expanded Career Opportunities – Courses like Financial Modelling and Data Analysis help professionals secure high-paying jobs in finance and decision-making roles.
  • Professional Growth – Networking Skills, Career Development, and Resume Writing enhance employability and career advancement.
  • Enhanced Skill Set – Learning about personal finance, stress management, and time management contributes to a well-rounded professional profile.

★ Courses we are offering ★

  1. The Introduction to UK Financial Regulations & Professional Integrity
  2. Accountancy & Finance For Beginners
  3. Finance Assistant
  4. Finance: Financial Investigator
  5. Financial Advisor
  6. Financial Modelling for Decision Making and Business plan
  7. Banking and Finance Accounting Statements Financial Analysis
  8. Improve your Financial Intelligence
  9. Personal Finance
  10. Data Analysis and Forecasting in Excel
  11. Resume Writing & Job Search With LinkedIn and Interview Tips
  12. Career Development Plan Fundamentals
  13. Networking Skills for Personal Success
  14. Practical Time Management Masterclass
  15. Training For Anxiety & Stress Management

Certificates

PDF Certificate

Digital certificate - Included

Hardcopy CPD Certificate

Hard copy certificate - £8.99

You can also get Printed Hardcopy CPD Certificates for only 8.99 GBP per course.

CPD

150 CPD hours / points
Accredited by CPD Quality Standards

Course media

Description

Course 01: The Introduction to UK Financial Regulations & Professional Integrity Course Curriculum:

  • Module 01: Understanding Financial Markets in the UK
  • Module 02: Assessing Financial Services & Risk in the UK
  • Module 03: Legal Framework on Contract & Trust
  • Module 04: Ethics and Professionalism
  • Module 05: UK Financial Services Regulators
  • Module 06: FCA and PRA Governance, Principles, and Rules
  • Module 07: FCA and PRA Competence of Companies and Individuals
  • Module 08: Financial Crime Regulations
  • Module 09: Complaints & Redress
  • Module 10: FCA Conduct of Business Sourcebook (COBS)

Who is this course for?

  • Professionals working in finance, banking, and investment sectors
  • Compliance officers, auditors, and risk management specialists
  • Business owners and entrepreneurs handling financial transactions
  • Graduates and job seekers aiming to enter the financial industry
  • Individuals interested in ethical financial practices and legal compliance

Career path

  • Compliance Officer (£35,000 – £60,000 per year)
  • Financial Risk Analyst (£40,000 – £75,000 per year)
  • Investment Banking Analyst (£50,000 – £100,000 per year)
  • Financial Advisor (£35,000 – £80,000 per year)
  • Regulatory Consultant (£45,000 – £85,000 per year)
  • Anti-Money Laundering (AML) Specialist (£40,000 – £70,000 per year)
  • Internal Auditor (£35,000 – £65,000 per year)

Questions and answers

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Chinedu asked:

Is this a level 4 certification?

Answer:

Dear Chinedu, The course is level 3, as it is stated in the title. Thank you for your query.

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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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