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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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