Foundation in FCA Regulation

Corporate Training Partnerships
Course summary
6 hours
625 GBP excl. VAT
Full time
Online courses
Next available date: 19/05/2021 09:30 - Online courses
Professional Training
Foundation in FCA Regulation

Course description

Foundation in FCA Regulation

This focused, one day course will provide a clear and easily digestible overview of the new FCA regulatory framework (touching also on the role of the PRA) and highlight the key requirements for firms and individuals. The emphasis will be on the practical implications of the regulations in the day to day business environment. Attending this course will help you:

  • Understand the scope, powers and priorities of the FCA and PRA and what this means in practice
  • Recognise the regulatory obligations on individuals and organisations under both principles and rules
  • Explore the scope and application of core elements of the FCA Handbook
  • Review the FCA’s approach to discipline and enforcement, learning lessons from recent examples
  • Examine the key rules and expectations relating to how you deal with customers - conduct risk
  • Identify current regulatory themes and developments and how they may affect you and your firm
  • Improve your knowledge of and ability to manage regulatory risks in your business

Suitability - Who should attend?

This introductory course in FCA Regulations is aimed at anyone wanting to get to grips with the FCA Regulations, and particularly those in the following positions:

• Are new to the Compliance function
• Have recently joined the financial services industry and need to understand how regulation works
• Are moving to a role requiring greater regulatory knowledge
• Are in a Risk management function and need to assess the risks associated with regulation
• Have become an Approved Person and want to understand the bigger compliance picture.

Outcome / Qualification etc.

Attendance at this training event can provide delegates with 6 CPD training hours to count towards their continuous professional development needs.

Training Course Content

This Foundation in FCA Regulation is designed to cover the following units:

Introduction and review of developments in regulation

  • How “Twin Peaks” is developing
  • Context and direction of UK regulation
  • Current and emerging themes and priorities
  • "Intensive and intrusive, judgemental regulation" and credible deterrence

Duties, powers, objectives and accountability of the FCA and PRA

  • Responsibilities of the FCA
  • FCA and PRA statutory objectives
  • Competition role
  • Enforcement, regarding promotions and product intervention

Discipline, enforcement and credible deterrence

  • Role of the Regulatory Decisions Committee
  • Warning and decision notices
  • Role of the Financial Services Tribunal
  • Options available to firms when facing disciplinary action
  • FCA approach to discipline and enforcement

The FCA Handbook

  • An insight into the structure and content of the FCA Handbook, its development and application

High level requirements, including SYSC and Approved Persons

  • Overarching requirements of regulated firms and key individuals

Culture and TCF

  • Regulatory expectations of a firm's culture and treatment of customers

Complaints and compensation arrangements

  • Requirement for complaints procedures
  • Financial Ombudsman Service
  • Financial Services Compensation Scheme


  • How the FCA supervises
  • The Firm Systematic Framework
  • Authorisations Permissions

Risk control and current regulatory hot topics

  • The FCA’s expectations
  • Product Development
  • Incentives and Remuneration

Training & Competence

  • Importance of training and competence and what makes firms properly trained and supervised

Conduct Risk

  • The FCA's conduct risk agenda
  • Conduct Risk and Conduct of Business
  • Key risks and pitfalls to avoid

Financial Crime

  • Overview of statutory obligations and appropriate controls

Summary and how to succeed

  • Key steps to ensuring ongoing compliance

Course delivery details

This course will be delivered via a real time slide sharing and live audio visual platform, accessible by desktop computer, laptop, tablet or smartphone. Delegate numbers will be limited to ensure a high quality learning environment.

In-house / Company-specific training

CTP can also adapt and deliver this course in-house, to meet the training requirements of your staff.

About provider

Corporate Training Partnerships - CTP: Regulatory, Risk Management and Technical Training for Financial Services Organisations

CTP are a specialist training company serving the financial services sector since 2002. Our clients include both dual (FCA and PRA) regulated and solo (FCA) regulated firms. Fully independent with no consulting or technology arms or products, no third party...

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Average rating 4.7

Based on 30 reviews.

CCLA Investment Management
A very useful oversight of FCA Regulation - Thank you
Pepper Money
A really good overview of FCA Regulations put into content for HR Professionals to implement
Pantheon Ventures
Really useful course and Charles was very engaging and adapted our objectives/take aways
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