The Training Environment For Financial Services

Foundation in FCA Regulation

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Course Outline & Objectives

This focused, one day course will provide a clear and easily digestible overview of the new FCA regulatory framework (touching also on the role of the PRA) and highlight the key requirements for firms and individuals. The emphasis will be on the practical implications of the regulations in the day to day business environment.

Attending this course will help you:

  • Understand the scope, powers and priorities of the FCA and PRA and what this means in practice
  • Recognise the regulatory obligations on individuals and organisations under both principles and rules
  • Explore the scope and application of core elements of the FCA Handbook
  • Review the FCA’s approach to discipline and enforcement, learning lessons from recent examples
  • Examine the key rules and expectations relating to how you deal with customers - conduct risk
  • Identify current regulatory themes and developments and how they may affect you and your firm
  • Improve your knowledge of and ability to manage regulatory risks in your business

Who will benefit

This course will be of immediate and lasting value if you:

  • Are new to the Compliance function
  • Have recently joined the financial services industry and need to understand how regulation works
  • Are moving to a role requiring greater regulatory knowledge
  • Are in a Risk management function and need to assess the risks associated with regulation
  • Have become an Approved Person or Senior Manager and want to understand the bigger compliance picture.

Training Approach

This workshop uses a combination of trainer input, syndicate work and case studies. Group size is kept to a maximum of 16 to facilitate a high quality learning experience.

Course Agenda

The topics covered may include but are not limited to:

  • Introduction and review of developments in regulation
  • Duties, powers, objectives and accountability of the FCA and PRA
  • Discipline, enforcement and credible deterrence
  • The FCA Handbook
  • High level requirements, including SYSC and Approved Persons
  • Complaints and compensation arrangements
  • Supervision
  • Risk control and current regulatory hot topics
  • Training & Competence
  • Financial Crime
  • Conduct Risk
  • Culture and TCF
  • Summary and how to succeed
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