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Financial Regulation & Compliance in Action

Financial regulation is the formal regulation and supervisions of the financial activities of companies, institutions and organisations. Commonly created, managed and enforced by government bodies and their supporting institutions, financial regulation works to protect market confidence, ensure long-term economic and financial stability of a market and organisation, enforce measures of consumer protection and discourage and monitor financial crime.

Regulatory compliance refers to the responsibility of companies and organisations to adhere to the legal rules and directives established to ensure financial equity, a fair competition and a transparent activity in the market. Financial compliance derives from a country's legal framework and is put in place by legal councils and supervisors that adapt parameters of the financial services compliance based on the market premises

Financial regulations apply principally to financial institutions, such as banks, as well as
the professionals and individuals who purchase financial services and products, such as shares, insurance products or private equity services. From a general perspective, regulatory compliance offers organisations and institutions a framework and system for ensuring that they are operating fairly and securely. In complying with relevant laws and regulations, common requirements include compiling, storing and releasing information records and data on all financial transactions and activity throughout an organisation. Compliance Monitoring training courses are available for those in this role. Further, verification of financial and regulatory compliance allows institutions to demonstration to clients and the public that they are trustworthy.

What does it take to be financially compliant in a competitive environment?

Financial compliance in a competitive environment is about more than just knowing the rules. It’s a process of meticulous record-keeping, monitorisation of all financial activity, a company culture that encourages compliance and informative training on the latest changes to rules and regulations.

Training courses for professionals working in financial services organisations cover a wide range of topics relevant to success in regulatory compliance. From foundational courses in the basics of adhering to compliance and Introductions to region-specific or industry-specific regulations to master classes in managing regulatory compliance and a high level, there is a training programme for every task.

Additionally, training courses provide candidates and companies with a platform for gaining a greater understanding of the role of compliance in modern financial services businesses. Professional training in compliance is designed to help delegates identify the key risks faced by differing types of financial institution and illustrate how the challenges a compliance function faces can be overcome.

Training for Compliance Specialists

Compliance specialists dedicate their work to effectively recognising the human factors that may prevent financial compliance. In terms of professional training options, courses for specialists in financial compliance seek to guide management teams towards a 100%-compliant organisation. When teams are keen to learn more about what to expect from compliance departments and how to advise members of indirect compliance functions, training courses provide immediately transferable knowledge, tools, skills and systems.

In the insurance industry, the need for regulatory compliance is great. Such a regulatory environment requires organsations to meet the latest standards and ensure a fair competition in the national market. To a large extent, the UK compliance framework follows the EU legislation, by focusing on aspects of equity, transparency and data security. The main supervising bodies in compliance for the UK financial sector are the Financial Services Authority (FSA), the Financial Reporting Council, the Information Commissioner's Office and the Environment Agency.

Compliance & regulatory courses are available for those starting out in the industry as well as for the professional looking to stay abreast of the latest developments.

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