The Training Environment For Financial Services

FCA Regulation for HR Specialists

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Background & Objectives

This one-day workshop has been designed primarily for human resources specialists.  It is intended to explain the implications of working in a regulated environment and, in particular, to address those aspects of the regulatory regime which have a direct impact on the HR function.

This course is equally appropriate for delegates from FCA solo-regulated firms and from firms which are dual-regulated by FCA and PRA.

Specifically, this practical course will help you:

  • Understand the nature of financial services regulation
  • Ensure you are up to date with the latest regulatory developments, especially in relation to SM&CR
  • Examine the regulatory impact on the full scope of HR activities, from recruitment through fitness
    and propriety, competence, performance, record-keeping and remuneration
  • Identify specific obligations which fall to HR as a result of the regulatory requirements
  • Highlight opportunities for using the regulatory framework as a vehicle for demonstrating the value
    of the HR function to the business
  • Benchmark your approach and procesures against market good practice

Training Approach

This course will combine lecture style presentations with practical examples and discussions.



Topics may include buat are not limnited to:

  • The UK financial services regulatory framework
  • Development of the FCA rules governing people
  • Senior Management Arrangements, Systems and Controls
  • Approved Persons Regime
  • Senior Managers and Certification Regime
  • Recruitment, Fitness and Propriety
  • Achieving, Assessing and Maintaining Competence
  • HR Practice, Risks and Controls
  • Remuneration
  • Culture and people risk
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