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Introduction to FCA Regulation & the Conduct Rules

Overview

All of our public training courses are delivered live online - perfect for remote working. Log in from anywhere to join a live training session with one of our expert trainers and have access to a recording for one month after the event.

This course provides participants with a comprehensive introduction to the principal elements of the regulatory environment for UK financial services firms, including the impact of the FCA’s Conduct Rules.

It outlines the objectives and role of the FCA and the key concepts of authorisation and approval. It also explains the ways in which the FCA supervises firms and individuals, and the powers available to the regulator in the event that a firm, or an individual, breaches regulatory requirements. It also considers the changes introduced by the Senior Managers & Certification Regime (SM&CR) and explores how the Conduct Rules impact on day to day behaviour within the industry. 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 regulatory environment for UK financial services firms, as well as those who require training on the FCA’s Conduct Rules. It is particularly suitable for employees taking up a position within an authorised firm for the first time, and those needing a refresher (including individuals requiring ‘certification’ under the SM&CR).

Learning Outcomes

After attending this course, participants will:

  • Describe the current financial services regulatory regime in the UK
  • Know the objectives and role of the FCA
  • Identify the requirements a firm and an individual need to satisfy to become, and remain, authorised/approved
  • Explain the impact of the SM&CR and the Conduct Rules
  • Understand the reasoning behind the supervision regime
  • Gain basic knowledge of the enforcement process and know the main sanctions the regulators can impose following enforcement action
  • Identify the principal forms of financial crime

Course Details

  • The Regulatory Structure
  • FCA Objectives and Role
  • Authorisation and Approval
  • SM&CR & the Conduct Rules
  • Supervision
  • Enforcement
  • Financial Crime

Delivery

Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.

Find out more about your Virtual or In-Person training experience below.

Virtual Delivery

Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:

  • Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
  • Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
  • Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
  • Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.

Additional Benefits:

  • Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.

  • On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.

 

In-Person Delivery

Our in-person training is delivered face to face at your offices, and includes:

  • ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
  • Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
  • Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.
"The trainer was very knowledgeable and was able to apply relevant examples to provide context throughout the course which was very helpful."
Compliance Assistant, Financial services information technology firm
Introduction to FCA Regulation & the Conduct Rules
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Duration
3 Hours
location
Delivery
In-House
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