Introduction to FCA Regulation

£25.00 +VAT

Duration: 20 mins

This course explores how the FCA regulates conduct, the principles it sets for business, and the standards and processes laid-out in the FCA handbook.

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Description

Course content

  • What FCA regulation is and does, and why it exists.
  • What the FCA’s main responsibilities are, e.g. authorisation, supervision, and enforcement.
  • What the FCA do to ensure the industry’s customers are treated fairly.
  • How the FCA vets firms to ensure they meet the requirements for registration.
  • How to access the FCA handbook.
  • What the eleven principles for business are under the regulatory system.
  • What responsibilities managers have to ensure employees are properly trained and competent.

Who would benefit

Suitable for employees at all levels, this course provides an essential induction to explain why it is necessary for financial services firms and markets to be regulated

Certification and assessment

Subject to the satisfactory completion of the assessment accompanying this course, learners are given access to an electronic Solicitors Regulation Authority approved certificate (in PDF format), which they are able to print and display.