Introduction to UK Compliance & Regulation
Tuesday 22nd September | 10:00 – 12:00 | 2 CPD hours | £195
Training Overview
LEARNING OUTCOMES
This course aims to provide participants with a comprehensive understanding of the specialised disciplines of compliance and financial regulation within securities firms. It is designed for individuals who want to gain insights into the terms associated with these fields and understand their impact on financial services firms. Participants will learn about the scope of compliance and financial regulation and how firms manage these aspects on an ongoing basis.
Key Topics:
- The UK Regulatory Environment
- The FCA and PRA
- The Financial Services and Markets Act (FSMA)
- The FCA’s Conduct of Business and Client Assets Sourcebooks (COBS & CASS)
- Associated Legislation and Regulation
Learning Outcomes
- Understand the structure of the UK regulatory environment and the roles of key regulators.
- Be familiar with the Financial Services and Markets Act and its implications for securities firms.
- Gain a high-level knowledge of the FCA’s Conduct of Business and Client Assets Sourcebooks.
- Appreciate the interplay between various regulations and their impact on compliance processes.
- Be equipped with foundational knowledge to navigate the complexities of compliance and regulation in the UK financial services sector.
Training and Venue Information
| CPD Authorised | Yes |
| Event Date | 22-09-2026 |
| Event End Date | 22-09-2026 |
| Price | One Place £195, Two Places from the same firm £340, Three Places from the same firm £500, additional Places £75 each. |
| Location | Online Training |