An introduction to UK financial regulation

Overview:

This course looks at the need for financial regulation in the UK and the need to make sure that markets and financial systems are sound and stable. The regulations exist primarily to ensure that consumers are given a fair deal. Consumers should have access to products and services that meet their needs from firms that they can trust.

Learning outcomes:

On completion of this course, you will have a greater understanding of:

• The framework of regulations in the UK
• The implications of the general prohibition
• The process of becoming a regulated firm
• The process of becoming an approved person
• The conduct of business rules
• The process through which the FCA can enforce its rules
• Other regulatory issues

Authored By: Steve Robinson

Steve has over thirty years experience in the financial services industry including roles in retail banking with Barclays Bank PLC, wealth management and stockbroking operations and as a financial markets tutor with Barclays Bank Stockbrokers.
Steve has over fifteen years experience in identifying, designing, delivering and evaluating financial services training. He has worked with a large number of major UK and international investment banks, stockbroking firms and fund managers.

A CPD certificate of completion will be provided by BPP Professional Education Limited upon successful completion of the online course.

CPD Points: 1

CPD Duration (hours): 1

Access: 12 months from purchase date