Financial Services Regulation - Introduction

BPP Professional Education

Course summary

Length: 2 days

Price: 1,275 GBP excl. VAT

Location: London

Next available date: 11/12/2018 - London

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Course home page: Link

Provider: BPP Professional Education

Course type: Open / Scheduled

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Course description

Financial Services Regulation - Introduction

This two-day course provides an overview of the regulatory regime in the UK. In particular, it develops an awareness of how the regulations and applicable statutes affect the operations of investment banking, stockbroking and investment management firms in the UK.

No prior knowledge of financial services regulation is assumed. This course does not prepare you for an industry examination.

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Suitability - Who should attend?

This course will be of benefit to those who require a practical knowledge of the UK regulatory regime, particularly if you are working in the field of compliance or associated control functions.

In view of the provisions regarding senior management responsibility in the UK regime, it is also relevant to those involved in managerial or supervisory functions.

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Training Course Content

Learning outcomes include obtaining a greater understanding of:

Overview
Historical background
Role of compliance
The FCA handbookand PRA rulebook
The Financial Services and Markets Act 2000 (FSMA)(as amended)
The regulatory structure
The role of the Financial Conduct Authority (FCA)
The role of the Prudential Regulatory Authority (PRA)
Authorisation
Supervision
Enforcement
Europe
The European regulatory structure
The implementation and impact of EU Regulationsand Directives
Passporting
High level standards
Principles for businesses / The Fundamental Rules
Senior management arrangements systems and controls
Senior managersand certification regime (SMCR)
Approved persons regime
Training and Competence Sourcebook
Business standards
Conduct of Business Sourcebook (COBS) (NB: does not cover ICOBS, BCOBS or MCOBS)
Accepting customers
Financial promotions
Advising and selling
Product disclosure
Dealing and managing
Customer reporting
Prudential standards
Capital Requirements Directives (CRD) – overview only
Client Assets Sourcebook
Custody
Client money
Redress
Dispute resolution (complaints)
Compensation
Financial crime
Insider dealing (CJA 1993)
Market manipulation (S 89-91 FSA 2012)
Market abuse
Market Abuse Directive II / Regulation
Money laundering
Proceeds of Crime Act 2002 (as amended)
Money Laundering Regulations 2017
SYSC rules on financial crime
JMLSG guidance
Regulatory developments
Proposed new regulations

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Expenses

The cost of this course is £1230 + VAT

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About provider

BPP Professional Education - Accountancy, Tax, Financial Services, Law & Insolvency Courses

BPP Professional Education is one of the specialist examination-based and professional development training arm of the BPP Group, Europe's biggest professional education and publishing provider with 2,000 staff members across 40 countries and over 30,000 students per year. BPP Professional Education...