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FCA Compliance Induction for Investment Firms
The price for this course: £48.00 inc. VAT
This course provides a sound knowledge and awareness of key compliance concepts that relate to both the individual’s employer and to the individual in a personal capacity.
The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.
This module is suitable for anyone that starts working for a FCA-regulated Investment Firm, aside from Senior Managers (who should instead take the module ‘Compliance Induction for Senior Managers at Investment Firms’).
Course Outline
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Why financial services need to be regulated?
Why do we need financial markets?
Malfunctioning markets -
The UK Framework
The UK and the financial services sector
The Financial Conduct Authority (FCA)
Check your understanding -
How does the FCA function?
Supervision
Enforcement
Rule making
Global aspects
Check your understanding -
Key regulatory themes
High level principles
Culture and governance
Conflicts of interest
Senior management arrangements, systems and controls (SYSC)
Conduct of business
Resilience
Financial crime
Check your understanding -
How does this affect me?
Culture and governance revisited
Conflicts of interest revisited
Financial crime revisited
Enforcement case studies
Check your understanding
Final thought of this section -
How a firm implements the regulatory framework
Lines of defence
Role of the compliance function
Breach reporting
Check your understanding -
Quiz
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Conclusion
What you have learnt
Key points
Recap
The price for this course:
£48.00 inc. VAT
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