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.

CPD Points
FCA Regulation
FCA Regulation
FCA Regulation
FCA Regulation
FCA Regulation

Course Duration: 20 minutes

Available in: 1 Language

  • English English

Tagged in: FCA Compliance Training

Technical Requirements

CPD Points: Yes

Editable? Yes, using the 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.

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FCA Regulation
FCA Regulation
FCA Regulation
FCA Regulation
FCA Regulation


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).

Great Value Package

Our Compliance Essentials Suite includes all of our compliance training in one neat bundle, as well as access to our 'Take 5' microlearning courses (compact five-minute courses in the form of challenges, presentations, and short games). The suite also includes regular course updates to ensure compliance with new legislation and working practises.

What's more, our intelligent eLearning platform Astute makes it easy to evaluate learners progress, providing detailed audit trails and infographics analytics.

What's included

  • Access to all Online Compliance Training for One Great Price
  • Innovative Astute eLearning Platform
  • New Courses Added Regularly
  • Regular Course Updates
  • Downloadable Posters and Assets
  • Dedicated Account Manager
  • Customise Course Content for Your Team
  • Unlimited Help Desk Support

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