Find a Course Near You
Register for the Course
This fast-paced and interactive half-day course equips participants with the skills and knowledge they need to begin working in the UK financial services industry.
This course provides an overview of the regulation of financial services in the UK. It is suitable for those with limited knowledge of UK regulation, perhaps because they are new joiners or because they have been operating in a different jurisdiction.
Through the use of regulatory speeches, enforcement cases, and current financial news, this course illustrates the importance of navigating UK regulatory requirements, whatever your job function.
- Explain the overarching UK regulatory structure governing financial services firms.
- Understand the differing remits of the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA).
- Have sight of the current UK regulatory agenda, with its emphasis on culture and conduct risk.
- Know the differences in how regulators supervise firms versus individuals.
- Put the UK regulatory environment into a European and international context.
- New entrants to the financial services industry, in banks, insurers, or investment firms
- Front office
- Internal audit
- Human resources and other operational functions
- Overseas persons with links to the UK financial system who wish to know more about how it operates