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