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FCA Compliance Refresher for Investment Firms
The price for this course: £48.00 inc. VAT
This course provides a refresher of key compliance concepts that relate both to 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 works for a FCA-regulated Investment Firm, aside from Senior Managers (who should instead take the module ‘Compliance Refresher 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?
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The UK Framework
The Financial Conduct Authority (FCA)
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How does the FCA function?
Supervision
Enforcement
Rule making
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
A Final thought on personal obligations -
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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