FCA Compliance:
FCA Compliance Induction for Senior Managers at Investment Firms
The price for this course: $60.00
FCA Compliance:
FCA Compliance Induction for Senior Managers at 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 as a Senior Manager.
The individual is also given guidance on managing compliance risk, and appropriate courses of action to be taken when encountering compliance issues.
This module is suitable for anyone that starts working in a Senior Manager capacity as classified per the Senior Managers and Certification Regime at a FCA-regulated Investment Firm
Learning outcomes
On completion of this course, you will:
• Understand the relationship between Financial Services and Regulation
• Understand the UK Financial Services regulatory framework specific to Senior Managers
• Understand how the FCA functions
• Have a sound understanding of the FCA Principles and their linkage to Rules
• Have a sound understanding of Culture and Governance specific to Senior Managers
• Have a sound understanding of Conflicts of Interest specific to Senior Managers
• Have a sound understanding of SYSC (Senior Management Arrangements, Systems and Controls Sourcebook)
• Have a sound understanding of Conduct of Business and Resilience
• Understand the financial crime framework and personal liability as a Senior Manager
• Understand how a firm implements the regulatory framework
• Achieve 0.75 CPD points
Purchasing, Onboarding & Volume Discounts
Course Outline
-
Effective risk mitigation or excess burden?
- The relationship between financial services and regulation
-
The UK framework
- The UK and the financial services sector
- Regulatory frameworks
- The Financial Conduct Authority (FCA) -
How does the FCA function?
- Supervision
- Transparency
- Enforcement
- Rule making
- Global aspects
- Check your understanding -
The FCA - a principles-based regulator
- The FCA Principles and other key regulatory themes
- High level principles
- What happens when a firm does not follow the Principles?
- Linkage between Principles and Rules -
Culture and governance
- Introduction
- Senior Managers and Certification Regime
- Enforcement against individuals -
Conflicts of interest
- Introduction
- Conflicts involving employees -
Senior management arrangements, systems and controls
- What is SYSC?
- Elements of SYSC
- Conflicts of interest revisited -
Conduct of business
- Introduction
- Case study: the customer journey
- Conflicts of interest revisited -
Resilience
-
Financial crime
- Financial crime framework
- Personal liability
- Check your understanding -
How a firm implements the regulatory framework
- Lines of defence
- Role of the compliance function
- Dealing with breaches
- Bringing it all togethe -
Quiz
-
Conclusion
- What you have learnt
- Key points
- Recap
The price for this course:
$60.00
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