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Esse Quam Videri

Introduction to UK Financial Regulation & Professional Integrity

This is a CIFA Level 4 course leading to a CIFA examination. Approximate total study time is 160 hours. Free certificate will be issued once exam is successfully passed.

by CIFA Management | Instructor Level 4

What you will learn

  • The UK Government’s role in the economy

  • Factors that influence the UK financial services sector

  • The main financial needs, priorities and risks of UK consumers

  • Legal concepts related to financial advice

  • Professional Ethics

  • The financial regulation structure in the UK

  • The regulatory strategies of the FCA and the PRA

  • The main FCA principles, rules and requirements relating to the conduct of business

Key Learning Outcomes:

- Gain insights into the pivotal role of the UK government in the economy, including its impact on financial markets and
consumer protection.

- Explore the primary financial needs, priorities, and risk factors facing UK consumers, equipping participants with the
knowledge to effectively address their clients' financial concerns.

- Instill a strong foundation in ethical considerations within the finance sector, emphasizing the importance of integrity,
fairness, and transparency in financial advice.

- Acquire knowledge of the regulatory strategies employed by the Financial Conduct Authority (FCA) and the Prudential
Regulation Authority (PRA), understanding how these bodies oversee and protect consumers within the financial
services industry.

- Understand the factors influencing the UK financial services sector, including economic conditions, regulatory
changes, and technological advancements.

- Get introduced to legal concepts pertinent to financial advice, ensuring compliance with relevant legislation and
safeguarding clients' interests.

- Develop a comprehensive understanding of the structure of the UK's financial regulation, including the roles and
responsibilities of key regulatory bodies.

- Delve into the FCA's principle rules, regulations, and requirements concerning business conduct, gaining a thorough
understanding of the standards that govern financial advice providers.

Course Content:

The course, structured into ten comprehensive chapters, covers a spectrum of vital topics:
1. UK Financial Markets
2. UK Financial Services & Risk
3. Contract & Trust: Legal Framework
4. Professionalism and Ethics
5. Regulators of the UK Financial Services
6. Governance, Principles & Regulations (FCA & PRA)
7. Competence of Companies & Individuals (FCA & PRA)
8. Regulations Relating to Financial Crime
9. Complaints & Redress
10. COBS: Conduct of Business Sourcebook of the FCA

You should also consider the CIFA Introduction to Derivatives trading course to further broaden your understanding of investments. Alternatively you could consider the comprehensive CIFA Investment Advisor Certification (IAC) Programme.

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Unit 1 Chapter 1 UK Financial Markets
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Unit 1 Chapter 2 UK Financial Services & Risks
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Unit 1 Chapter 3 Contract & Trust: Legal Framework
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Unit 1 Chapter 4 Professionalism & Ethics
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Unit 1 Chapter 5 Regulators of the UK Financial Services
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Unit 1 Chapter 6 Governance, Principles & Regulations
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Unit 1 Chapter 7 Competence of Companies & Individuals
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Unit 1 Chapter 8 Regulations Relating to Financial Crime
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Unit 1 Chapter 9 Complaints & Redress
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Unit 1 Chapter 10 COBS: Conduct of Business Sourcebook (Part 1)
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Unit 1 Chapter 10 COBS: Conduct of Business Sourcebook (Part 2)

PDF
Chapter 1 UK FInancial Markets
Slide Doc
Chapter 2 UK Financial Services and Risk
Slide Doc
Chapter 3 Contract and Trust Legal Framework
Slide Doc
Chapter 4 Professionalism and Ethics
Slide Doc
Chapter 5 Regulators of the Financial Services
Slide Doc
Chapter 6 Governance Principles and Regulations (FCA and PRA)
Slide Doc
Chapter 7 Competencies of Companies and Individuals (FCA and PRA)
Slide Doc
Chapter 8 Regulations Relating to Financial Crime
Slide Doc
Chapter 9 Complaints and Redress
Slide Doc
Chapter 10 Cobbs Conduct of Business Sourcebook of the FCA
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Meet Your Instructor

Instructor
5969 Students
23 Courses
About Instructor

CIFA: Empowering Education through Innovative Learning Solutions

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£ 358.00

  • Course Duration
    160 CPD hrs
  • Course Level
    Intermediate
  • Language
    English
  • Product Type
    Digital
This Course Includes
  • 160 CPD Hrs CPD Verified
  • Revision Quizzes Per Chapter
  • Lifetime Portal Access
  • Certificate of Achievement
    (After successfully completing and passing exam)
  • Your very own "Digital Profile"
QR & Digital Profile See CIFA Digital Profile
Watch the video to get a better idea of our product