Key Details

Duration: 3 Hours Location: City of London Price: 299 GBP per person
Upcoming Dates: 02 May 2018,  19 Jun 2018

Overview

This course provides attendees with a comprehensive introduction to the principal elements of the regulatory environment for UK financial services firms.  It outlines the respective objectives, and roles, of the FCA and PRA and the key concepts of authorisation and approval.  It also explains the ways in which the regulators...

This course provides attendees with a comprehensive introduction to the principal elements of the regulatory environment for UK financial services firms.  It outlines the respective objectives, and roles, of the FCA and PRA and the key concepts of authorisation and approval.  It also explains the ways in which the regulators supervise firms, and the powers available to the regulators in the event that a firm, or an individual, breaches regulatory requirements.  Finally, it provides an outline of the principal areas of financial crime.

Who is this for?

This course is designed for anyone who requires an introduction to the regulated environment for UK financial services firms.  It is particularly suitable for senior managers, and other employees, taking up a position within an authorised firm for the first time.

  • The Regulatory Structure
  • FCA & PRA - Objectives and Roles
  • Authorisation and Approval
  • Supervision
  • Enforcement
  • Financial Crime
After attending this course you will:
  • Be able to describe the current financial services regulatory regime in the UK.
  • Know the objectives of the FCA and PRA
  • Understand the requirements a firm and an individual needs to satisfy in order to become, and remain, authorised/approved
  • Understand the reasoning behind the supervision regime
  • Have basic knowledge of the enforcement process, and know the main sanctions the regulators can impose following enforcement action
  • Have awareness of the principal forms of financial crime