Introduction to FCA Regulation & the Conduct Rules On-Demand

This training course provides a comprehensive introduction to the FCA’s regulatory regime in a convenient ‘on-demand’ format.

The course outlines the structure of the UK regulatory framework, including the underpinning legislation. It also explores the objectives and role of the FCA and the key concepts of authorisation and approval, as well as fundamental regulatory obligations such as the Principles for Businesses.

It 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. 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. Finally, it provides an outline of the principal areas of financial crime.

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).

After attending this course, participants will:

• Be able to describe the current financial services regulatory regime in the UK
• Know the objectives and role of the FCA
• Understand the requirements a firm and an individual need to satisfy in order to become, and remain, authorised/approved
• Understand the impact of the SM&CR and the Conduct Rules
• 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

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

Our On-Demand courses consist of a suite of bite-size video tutorials and a short assessment, allowing you to consume the training over a course of weeks or months. In addition to the recorded tutorials, you will have access to our “ask the tutor" facility for 3 months.