FCA Compliance:
FCA Compliance Refresher for Investment Firms
The price for this course: $60.00
FCA Compliance:
FCA Compliance Refresher for 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 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’.
Purchasing, Onboarding & Volume Discounts
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:
$60.00
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