FCA Compliance:
FCA Compliance Refresher for Senior Managers at Investment Firms
The price for this course: $60.00
FCA Compliance:
FCA Compliance Refresher for Senior Managers at Investment Firms
The price for this course: $60.00
45 mins
0.75 points
This course provides a refresher 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 works for a FCA-regulated Investment Firm, and is classified as a Senior Manager per the Senior Managers and Certification Regime.
Purchasing, Onboarding & Volume Discounts
Course Outline
-
Why regulate?
-
The UK framework
- Regulatory frameworks
- The Financial Conduct Authority (FCA) -
How does the FCA function?
- Supervision
- Transparency
- Enforcement
- Rule making
- 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 together -
Quiz
-
Conclusion
- What you have learnt
- Key points
- Recap
The price for this course:
$60.00
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