Regulations & Operational Compliance for Financial Services Firms

Eureka Financial
Course summary
1 day
695 GBP excl. VAT
Full time
Professional Training
Next available date: 20/08/2021 09:00 - Online courses
Course Dates
Online courses
695 GBP

Online courses
695 GBP

Online courses
695 GBP

Course description

Due to the current situation we offer an opportunity to complete this programme remotely via a virtual classroom on 20 Aug, 1 Oct & 1 Dec from 9 a.m. until 5 p.m. UK time. 


This practical one day workshop will equip you with the most up-to-date knowledge about the latest regulation requirements which apply to the operations of an FCA authorised firm. You will have a chance to explore the impact of SMCR, actions necessary to comply with money laundering regulation, the FCA’s enhanced reporting requirements and the latest developments in systems and controls including Conduct of Business that spans across CONC, MCOB, ICOB and COB regulations.

You will also learn about the FCA’s ongoing approach to the COVID-19 pandemic, the impact of Brexit and the areas the FCA are to focus on over the next 2 years.

  • Recognise the current financial services regulatory regime in the UK
  • Understand the reasoning behind the supervision regime
  • Know the objectives of the FCA
  • Understand the shape of the regulatory handbook
  • Recognise the structure of the regulator’s communications
  • Get a thorough understanding of FCA regulatory reporting and notification processes
  • Understand the FCA expectations of senior managers
  • Investigate appropriate approaches to communicating with the regulator
  • Have basic knowledge of the supervisory and enforcement processes
  • Know the main sanctions the regulators can impose following enforcement action
  • Understand effective defence strategies from FCA enforcement action
  • Recognise the key areas of regulatory focus
  • To understand the structure and detail of an effective three lines of defence model
  • Recognise the elements of an effective, robust and appropriate compliance functions
  • Understand the shape of effective risk management structures and processes

You may be interested in our Regulations & Operational Compliance for Funds Course on 22 Apr & 29 Jun 2021. 

Suitability - Who should attend?

From Investments, Payment Services, Fintech, Insurance and Consumer Credit firms

  • Senior Management
  • Compliance
  • Risk Management

Outcome / Qualification etc.

Course certificate on completion. 

Main topics

  • The UK regulatory structure
  • The FCA – structure and approach to regulation and supervision
  • Structure of the regulator’s handbook
  • Handbook guides
  • FCA Expectations of a firm
  • Regulatory reporting and notifications
  • Communicating with the regulator
  • Governance and Oversight
  • Systems and Controls
  • FCA Expectations of Senior Management
  • Supervisory and enforcement process
  • Three lines of defence
  • Risk Management


Early Bird £695, Regular Price £795 + VAT. 10% discount for 3 people. 

About provider

Eureka Financial - Expert in Banking and Finance, Regulatory, Risk and Wealth Management Training.

Eureka Financial is a provider of banking, finance, regulatory, risk and wealth management training courses. We also offer some business management and soft skills training programmes. Based in London, UK, we organise public courses in London as well as tailored in-house...

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Eureka Financial

22 A St Jame's Square
SW1Y 4JH London

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