eLearning to familiarise employees with FCA practices

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).

Introduction to FCA Regulation – 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.

What to expect from our Introduction to FCA Regulation module:

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.

Technical requirements

Course duration: 20 minutes

As with all of our Compliance eLearning you can tailor this course to your specific requirements using the Adapt Authoring Tool

You can buy this course on its own or for greater value why not buy the full suite of compliance training courses?