Introduction to FCA Regulation
eLearning to familiarise employees with FCA practices
This course is available as part of the Compliance eLearning Suite in one great package.
Course Overview
This course explores how the FCA regulates conduct, the principles it sets for business, and the standards and processes laid-out in the FCA handbook.
Course Duration: 20 minutes
Available in: 1 Language
Tagged in: FCA Compliance
CPD: This course is eligible for CPD points.
Tailoring: You can tailor this course using the free Adapt Authoring Tool.
What to Expect
Suitable for employees at all levels, the key learning outcomes of this course are:
- What FCA regulation is and does, and why it exists.
- What the FCA's main responsibilities are, e.g. authorisation, supervision, and enforcement.
- What the FCA do to ensure the industry's customers are treated fairly.
- How the FCA vets firms to ensure they meet the requirements for registration.
- How to access the FCA handbook.
- What the eleven principles for business are under the regulatory system.
- What responsibilities managers have to ensure employees are properly trained and competent.
About
In the past, miss-selling, misconduct, malpractice, and even fraud, has resulted in billions of pounds in fines, compensation, and other penalties for the UK's financial services industry. These penalties have negatively affected pension plan holders, shareholders, savers, and investors – not to mention the economy at large – and that's why it's essential for financial services firms and markets to be regulated. This is the purpose of the Financial Conduct Authority (FCA).
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Guide Pricing
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Estimate Your Cost
per year
For 150+ learners, please contact us for a quote.
Exchange rates are updated regularly but are only intended as a guide.