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Introduction to FCA Regulation

20 Minutes Short course Financial Services

This course explores how the FCA regulates conduct, the principles it sets for business, and the standards and process it provides in the FCA handbook.

Description

This course explores how the FCA regulates conduct, the principles it sets for business, and the standards and process it provides in the FCA handbook.

Course Objectives

  • 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 12 principles for business
  • Managerial responsibility to ensure employee training and competence

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This is a trial version of the course Introduction to FCA Regulation. Please note, we do not offer certificates for trial course completions.

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