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Virtual, UK Europe Time Zones
CPEs:
Instructor:
Dennis Cox
Level:
Introductory / Refresher
Tuition:
£1,575.00
Updated 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
Overview
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.)
Registration
Updated 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)
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.