UK Financial Services Regulation & Compliance Course

 Location: London (Central)

This introductory course will give participants an overview of UK financial services regulation. It will start with the context of how we got to where we are and examine significant elements of the current framework. It will review the central piece of UK legislation – the FSMA 2000 – including important secondary legislation. It will examine how the EU has influenced development.

There will be an explanation of the workings of the FSA’s Handbook and regulatory processes. We will understand how to use the FSA website to research and analyse areas of the rules and their application. We will look at two important and topical areas of the regulatory framework: financial promotion and financial products.

Syndicate exercises will be used where appropriate to reinforce and extend learning.

Course categories:Legal Compliance Courses, Back Office Inhouse Courses , Corporate Banking Inhouse, Legal / Compliance Inhouse, Risk Management Inhouse

COVERED TOPICS

Background to UK financial services regulation

• The evolving scope of regulated activities and the regulator
• Types of regulated firms
• Types of regulation

Core elements of the present framework

• FSMA 2000
• FSA and other relevant bodies
• EU

FSMA 2000 – overview of key elements relevant for regulation and compliance

• Firms: regulated activities; authorisation; permission
• Individuals: controlled functions and approved persons
• Statements and codes; rule-making powers
• Critical areas: financial promotion; market abuse; collective investment schemes
• Investigation and discipline
• Redress: Financial Services Ombudsman; rights to sue; FS Compensation Scheme

European and international influence

• The single passport
• Significant EU directives
• Global regulatory influences

Overview of FSA’s Handbook and regulatory approach

• Structure of handbook
• Status of principles, rules, guidance and evidential provisions
• Territorial application
• Regulatory processes
• Researching and analysing the rules and their application
• Topical issues

Financial products

• Regulation of UK collective investment schemes
• Alternative fund structures, including overseas funds
• Structured products

Financial promotion

• Restrictions on Financial Promotion
• Financial Promotions Order
• Area of regulatory focus and examples

REGISTRATION & PRICING INFORMATION

Contact us if you are looking to book multiple participants as we offer discounts as follows:

• 1-2 participants - full price
• 3-4 participants - 15% discount
• 5-6 participants - 20% discount
• 7-8 participants - 25% discount
• Over 9 participants - 30% discount

For more information or to be contacted by the event provider please fill this form:

Registration price

575.00

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Price: 575.00 GBP
Location: London (Central)
Event date: 15.10.2012 - 15.10.2012
Event duration: 7h30
Event time: 09.30 h - 17.00 h

ADDITIONAL DATES

CONTACT US

Email: info@financialveritas.com

Phone: +44 208 133 5917