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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 140 hours (estimated timings for individual chapters are shown below).This is a CIFA Level 4 course leading to a CIFA examination. Free certificate will be issued once exam is successfully passed.

by CIFA Management | Author Level 1

What you will learn

  • The UK Government’s role in the economy

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

  • Professional Ethics

  • The regulatory strategies of the FCA and the PRA

  • Factors that influence the UK financial services sector

  • Legal concepts related to financial advice

  • The financial regulation structure in the UK

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

The CIFA Introduction to UK Financial Regulation and Professional Integrity is suitable for both finance graduates with minimal expertise and specialists active in the working environment.



Undertaking the CIFA Introduction to UK Financial Regulation and Professional Integrity will enhance your professional understanding before taking career-specific FCA regulated qualifications in the designated field of expertise.



This is a CIFA Level 4 course leading to a CIFA examination.

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Chapter 1 UK Financial Markets
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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
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Unit 1 Chapter 10 COBS: Conduct of Business Sourcebook (part 2)

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

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Meet Your Instructor

Instructor
68 Students
8 Courses
About Instructor

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£ 358.00

  • Course Duration
    140 CPD hrs
  • Course Level
    Intermidiate
  • Language
    English
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This Course Includes
  • 140 CPD Hrs CPD Verified
  • 10 Quizzes
  • Full Lifetime Access
  • Certificate of Completion