Professional Training
4.7 (49 Reviews)

Foundation in FCA Regulation (Live Online)

Leave your details so the provider can get in touch

Course description

Foundation in FCA Regulation

Foundation in FCA Regulation (Live Online)

This focused course will provide a clear and easily digestible overview of the new FCA regulatory framework (touching also on the role of the PRA) and highlight the key requirements for firms and individuals. The emphasis will be on the practical implications of the regulations in the day to day business environment.

Suitability - Who should attend?

This course will be of immediate and lasting value if you:

  • Are new to the Compliance function
  • Have recently joined the financial services industry and need to understand how regulation works
  • Are moving to a role requiring greater regulatory knowledge
  • Are in a Risk management function and need to assess the risks associated with regulation
  • Have become a Senior Manager and want to understand the bigger compliance picture.

Outcome / Qualification etc.

CPD hours: 6

  • Understand the extent of the scope, powers and priorities of the FCA and PRA and what this means in practice
  • Recognise the regulatory obligations on individuals and organisations under both principles and rules
  • Understand the scope and depth of FCA guidance and how to apply it
  • Explore the scope and application of core elements of the FCA Handbook
  • Review the FCA’s approach to discipline and enforcement, learning lessons from recent examples
  • Examine the key rules and expectations relating to how you deal with customers, including conduct risk and 'Treating Customers Fairly'
  • Identify current regulatory themes and developments and how they may affect you and your firm
  • Improve your knowledge of and ability to manage regulatory risks in your business

Course delivery details

The course programme will comprise a blend of trainer presentations, group discussion, practical examples and case studies. There will be ample opportunity for questions, experience sharing and networking. All course materials (and at face-to-face events, refreshments and lunch) will be provided.


Average rating 4.7

Based on 49 reviews.
Write a review!
27 Jan 2023

Very informative course! Gary was great - clearly very knowledgeable, presented the session very well, made the course engaging and applied theory to real-life situation to make...

Show more
07 Oct 2022

A very good foundation course that highlights the key areas of the FCA powers, engagement, approach and requirements. Thought provoking, balanced and informative. If you are abo...

Show more
07 Oct 2022

Course was clearly laid out at the beginning and then presented in a very logical way. Presenter clearly knew the subject matter inside out - a very welcome introduction to the ...

Show more


Course fees: £725.00 + vat per person

Request info

Contact course provider

Fill out your details to find out more about Foundation in FCA Regulation (Live Online).

  Contact the provider

  Get more information

  Register your interest

Country *

reCAPTCHA logo This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.
Corporate Training Partnerships
PO Box 501
The Nexus Building, Broadway
SG6 9BL Letchworth Garden City Hertfordshire

Corporate Training Partnerships

CTP are a specialist training company serving the financial services sector since 2002. Our clients include both dual (FCA and PRA) regulated and solo (FCA) regulated firms. Fully independent with no consulting or technology arms or products, no third party...

Read more and show all courses with this provider