FCA Compliance:
FCA Compliance Induction for Investment Firms
The price for this course: $60.00
FCA Compliance:
FCA Compliance Induction for Investment Firms
The price for this course: $60.00
45 mins
0.75 points
This course provides a sound knowledge and awareness of key FCA 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’).
Purchasing, Onboarding & Volume Discounts
Course Outline
-
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
-
Conclusion
- What you have learnt
- Key points
- Recap
The price for this course:
$60.00
Complete this form and we'll contact you shortly with a quote:
Coupon applied at checkout