Introduction to FCA Regulation

Familiarise your employees with the Financial Conduct Authority and FCA practices

Course Overview Course Contents Who Should Take This Course? The Assessment Importance of the Course FAQs

Key Learning Points:

  • What FCA regulation is and does, and why it exists
  • What the FCA's main responsibilities are
  • What the FCA do to ensure the industry's customers are treated fairly
  • How the FCA vets firms to ensure they meet the requirements
  • How to access the FCA handbook.
  • The eleven principles for business
  • Managerial responsibility to ensure employee training and competence
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Introduction to FCA Regulation
Introduction to FCA Regulation
Introduction to FCA Regulation
Introduction to FCA Regulation
Introduction to FCA Regulation
CPD Points

Course Overview

This online training course on the Financial Conduct Authority (FCA) explores how the FCA regulates conduct, the principles it sets for business, and the standards and processes laid-out in the FCA handbook.

Course Details

  • Course duration: 20 minutes

  • Available for translation

    Cost effective solutions exist for 70+ languages.
  • Certificate on completion
  • Course can be tailored using Adapt Authoring Tool
  • Course can be tailored to meet your specific requirements
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Course Contents

This online training course on FCA regulations is broken down into four main topics.

The FCA Responsibilities
The FCA Responsibilities
The FCA is the UK’s regulator for financial services firms and financial markets. This topic explores the world of financial regulation, the role of the financial services sector which is one of the largest employers and contributors to the UK economy, and the aim of the FCA is to ensure that financial markets operate with integrity and compete fairly, so that consumers and the economy are protected.
The FCA Regulation
The FCA Regulation
Financial services providers, investment firms, consumer credit firms and Independent Financial Advisors (IFAs) must be authorised or registered by the FCA before they can offer regulated activities. This topic covers who are regulated by the FCA and the Prudential Regulation Authority (PRA) and explains how firms are authorised and supervised by the FCA.
Treating Customers Fairly
Treating Customers Fairly
The FCA has set out high level standards of conduct that all firms must adhere to in order to be able to meet the main regulatory obligations. This topic explores the 11 principles for business which are fundamental obligations under the regulatory system. This course also looks at the six consumer outcomes based on the FCA’s evaluation of Treating Customers Fairly (TCF).
Training and Competence
Training and Competence
Under the third principle for business set by the FCA, firms need to ensure that employees are competent to carry out regulated activities. This requires training, supervision, record keeping and management information (MI). This topic looks at the importance of the third principle and the FCA’s training and competence (TC) requirements for employees in relation to the job they perform.
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The Assessment

Learners are tested on their knowledge throughout the course with short quizzes. The course concludes with a final assessment test where learners must answer 80% of the questions correctly to pass the course. On successful completion of the course, learners will be able to download a certificate of achievement. Learners can also take the assessment again to improve their score.

2 Ways of Purchasing

You can purchase our courses individually or for even better value you can purchase the complete range of Compliance, Health and Safety or Performance Management courses in one neat bundle.

1. Individual Licenses

If you buy courses on an individual bases you pay a price per learner, per course per year. You can run these courses on your own LMS if Xapi/SCORM compliant or you can take them online.

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2. Complete Bundle

Buy all of the Compliance, Health and Safety or Performance Training courses in one great value package and receive unlimited benefits including our AI driven Learning Experience Platform, Astute.

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1. Individual Pricing

Number of Learners Cost (per year)
1 - 10 29 / per learner
11 - 20 25 / per learner
21 - 50 20 / per learner
51 - 100 15 / per learner
101 - 150 10 / per learner
150+ POA

Exchange rates are updated regularly but are only intended as a guide.

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2. Complete Bundle Pricing

If you buy all the Compliance, Health & Safety or Performance Training in a complete bundle, all features come as standard, no matter the size of your organisation!

Number of Learners Cost (per year)
50 - 100 30 / per learner
101 - 200 25 / per learner
201 - 300 21 / per learner
301 - 400 18 / per learner
401 - 500 15 / per learner
501 - 750 12.50 / per learner
751 - 1000 10 / per learner
1001 - 2500 8 / per learner
2501 - 5000 6 / per learner
5000 - 10,000 5 / per learner
10,000 + POA
Included Features
  • All courses in our catalogue
  • Our Learning Experience Platform ‘Astute’
  • New courses added regularly
  • Branded, downloadable posters
  • Customise Course Content for Your Team
  • Regular course updates
  • Dedicated Account Manager
  • Unlimited help desk support

Exchange rates are updated regularly but are only intended as a guide. Prices are based on a 2 year contract.

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Importance of FCA Regulation Training

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). Train your employees on the importance of FCA regulations and the consequences of non-compliance.

Importance of FCA Regulation Training

FAQ's

If you have any questions that are not covered here, please get in touch.

Get in Touch Technical Requirements
Who are the FCA?
The Financial Conduct Authority (FCA) is responsible for regulating the conduct of financial services firms and markets. The FCA plays an important role in enforcing integrity, fair competition and protecting consumers. To do this effectively, the FCA regulates firms by supervising them - comparing businesses against a framework of principles and rules that represent a minimum standard of conduct.
What are the 11 Principles for Business
According to the FCA, there are 11 Principles for Business which act as fundamental obligations. These include integrity, skill, care and diligence, management and control, financial prudence, market conduct, customers’ interests, communications with clients, conflicts of interest, customer relationship of trust, client assets and relations with regulators.
What is meant by FCA regulated?
According to the FCA, any firms offering financial services in the UK must be authorised by them and it is recommended that customers only deal with authorised firms. Details of firms, individuals and other bodies that are or have been regulated by the FCA are published on a public record called the Financial Services Register. The FCA supervises approximately 59,000 financial firms and markets.

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