Finance

Introduction to FCA Regulation

CCL Academy

CCL Academy

Continuing Professional Development Points

3


Introduction

This course provides attendees with a comprehensive introduction to the principal elements of the regulatory environment for UK financial services firms. It outlines the respective objectives, and roles, of the FCA and PRA and the key concepts of authorisation and approval. It also explains the ways in which the regulators supervise firms, and the powers available to the regulators in the event that a firm, or an individual, breaches regulatory requirements. Finally, it provides an outline of the principal areas of financial crime.


Summary

• The Regulatory Structure
• FCA & PRA - Objectives and Roles
• Authorisation and Approval
• Supervision
• Enforcement
• Financial Crime


Dates Avaliable


25th

July

2018

5th

September

2018

14th

November

2018

Requirements


This course is designed for anyone who requires an introduction to the regulated environment for UK financial services firms. It is particularly suitable for senior managers, and other employees, taking up a position within an authorised firm for the first time.

Accreditation

Overview

  • Location: London
  • Telephone: 03334432968
  • Residential: No
  • Course Title: Introduction to FCA Regulation
  • Duration: 1 Days
  • Cost: £299 (Ex VAT)
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