Best Seller
Virtual, UK Europe Time Zones
Instructor: Dennis Cox
Level: Introductory / Refresher
Tuition: £1,575.00
Register Now

NEW Introduction to UK Financial Regulations CPR400 CPR021

Location: Virtual, UK Europe Time Zones

Duration: 2 hours

Programme Director: Dennis Cox FCA CFSI FISRM AIIA BFP

All Dates & Locations
Venue Details

Experience the highly-interactive expert-led social learning through Virtual Classroom via Cisco WebEx from Risk Reward.

All our 2023 Live onsite and live Virtual Classroom events feature shared (or discrete) live chat between delegates and the expert, participate in topical surveys, polling questions, group exercises and case studies for a tried -and- true engaging and gratifying learning experience.

Need to certify your entire department, bring this course in house for a small team, 1:1 or face to face, or on-site? Simply contact us for significant cost savings and dates to meet your specific business requirements.

"{The trainer] was very knowledgeable and able to give opinions across a wide variety of subjects. Very well informed. "
Risk Director, Japanese Bank, New York
Agenda Highlights

As per delegate job-related request.

"Very engaging and a friendly environment. Thank you Paul."
IT Director, Nordea, Copenhagen

Training to this introductory understanding of financial regulation underpins the key regulations in the UK’s Financial Sector from the broad perspective of the regulatory environment to the Conduct of Business Sourcebook (COBS) rules.

Who Should Attend

Training is appropriate for anyone who requires an introductory understanding of UK Financial Regulations.

Additional Course Information

What Does It Cover?

The Regulatory Environment

  • The role of the FCA and PRA
  • The Regulatory Infrastructure

 The Financial Services and Markets Act 2000 and Financial Services Act 2012

  • Regulated and Prohibited Activities
  • Performance of Regulated Activities
  • Information Gathering and Investigations
  • Regulated Activities 2.5 Miscellaneous offences under FSA 2012

Associated Legislation and Regulation

  • Insider dealing
  • Market abuse
  • Money laundering
  • Model Code
  • Disclosure and Transparency rules
  • Data Protection Act 1998
  • Relevant European Regulation
  • Prudential Standards

 The FCA Conduct of Business Sourcebook / Client Assets

  • The application and general provisions of the FCA Conduct of Business Sourcebook
  • Accepting clients
  • Communicating with clients, including financial promotions
  • Suitability
  • Product disclosure and the client’s right to cancel
  • Dealing and managing
  • Reporting to clients
  • Client Assets

Complaints and Redress

  • Customer complaints
Learning Objectives

The purpose of this 2 hour executive debrief is to equip delegates with the essential knowledge.
Delegates will gain specialist technical and behavioural knowledge in an ‘on-the-job-training’ style by a professional subject matter expert and trainer, which can be applied to the workplace immediately.



Social Learning & Methods

Highly interactive expert-led intensive presentation, Q&A, regulation and discussion supported by key principles and theory. The virtual learning platform uses safe, industry preferred encrypted Cisco WebEx to optimise live face-to-face visual interaction.

(An invitation via email with access link is included for all participants.)


NEW Introduction to UK Financial Regulations CPR400

Course Fee

Enter discount voucher RISK10 at check out for savings before Feb 15 2023

Course Fee (per person):
GBP £1,575.00 (+ UK VAT when applicable)

Number of delegates:

Data Privacy & Update of Contact Details Risk Reward Limited is fully compliant with the Data Protection Act. The information you provide will be safeguarded by Risk Reward Ltd. We do not rent, sell or exchange your details to anyone without your consent. Your details are never given to third parties. If you wish to update your details, please email: with your OLD and NEW details. Please allow 10 days to see the changes take effect. Thank you.

Terms and Conditions: You can cancel at any time. Due to the on-going COVID 19 environment cancellations may be made at any time for either a full refund or a credit towards another event occurring within the following 6 month period. Simply email or telephone the London Client Services team at to advise your preference and we will do our best to accommodate your circumstances. Risk Reward Ltd receives the right to a final decision in the event of a dispute.

All Risk Reward public courses are guaranteed to run although those offered by affiliates are subject to demand
SKU: CPR021-1 Categories: , ,

Quick Contact

    Get in touch and see how Risk Reward can help you

    Our London team are ready to answer questions, provide information & choices to help make your public seminar booking in a prompt, professional & friendly manner.

    Get in touch and see how Risk Reward can help you

    Our London and Miami teams are ready to listen carefully to your needs, take the brief, explore options, offer suggestions and help you in a professional and friendly manner.