Financial Services Regulation - Refresher & Update

BPP Professional Education
Course summary
6 hours
650 GBP excl. VAT
London, Online courses
Next available date: Online delivery option may be available - Please contact provider. - Online courses
Professional Training

Course description

Financial Services Regulation - Keeping Up-To-Date

This two-day course provides an overview of the regulatory regime in the UK, as amended by the Financial Services Act 2012. In particular, it develops an awareness of how the regulations and applicable statutes affect the operations of investment banking, stockbroking and investment management firms in the UK. No prior knowledge of financial services regulation is assumed. This course does not prepare you for an industry examination (please see the Financial Services brochure for examination training, or contact Client Services at Financial Services Division on 0207 786 5900).

Suitability - Who should attend?

This course will be of benefit to those who require a practical knowledge of the UK regulatory regime, particularly if you are working in the field of compliance or associated control functions. In view of the provisions regarding senior management responsibility in the UK regime, it is also relevant to those involved in managerial or supervisory functions.

Training Course Content

OverviewHistorical backgroundRole of complianceThe handbook - FCA & Rulebook - PRAThe Financial Services and Markets Act 2000 (FSMA)The Financial Services Act 2012The regulatory structureThe role of the Financial Conduct Authority (FCA)The role of the Prudential Regulatory Authority (PRA)AuthorisationSupervisionEnforcementEuropeThe European regulatory structureThe implementation and impact of EU DirectivesPassportingHigh level standardsPrinciples for businesses / The Fundamental RulesStatements of principle for approved personsSenior management arrangements systems and controlsTraining and Competence SourcebookBusiness standardsConduct of Business Sourcebook (COBS) (NB: does not cover ICOB, BCOB or MCOB)Accepting customersFinancial promotionsAdvising and sellingProduct disclosureDealing and managingCustomer reportingPrudential standardsCapital Requirements Directives (CRD) – overview onlyClient Assets SourcebookCustodyClient moneyRedressDispute resolution (complaints)CompensationFinancial crimeInsider dealing (CJA 1993)Market manipulation (S 89-91 FSA 2012)Market abuse (S 118 FSMA)Market Abuse Directive II / RegulationMoney launderingProceeds of Crime Act 2002 (as amended)Money Laundering Regulations 2007SYSC rules on financial crimeJMLSG guidanceRegulatory developmentsProposed new regulations

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BPP Professional Education

BPP Professional Education -  Accountancy, Tax, Financial Services, Law & Insolvency Courses

BPP Professional Education is one of the specialist examination-based and professional development training arm of the BPP Group, Europe's biggest professional education and publishing provider with 2,000 staff members across 40 countries and over 30,000 students per year. BPP Professional Education...

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BPP Professional Education

3 London Wall Buildings
EC2M 5PD London

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