This course aims to give a good basic understanding of the FSA regulatory regime, its aims and its application to the employees of FSA regulated firms.
It is a practical course drawing on examples and case studies to illustrate how the rules work and their practical application.
This is an ideal course for staff who are new to the industry or for all those moving into a Compliance role.
The course may also be used as a tool to demonstrate training and competence under the FSA T&C regime.
No prior knowledge is assumed
What is compliance?
-The financial services and markets act 2000
-The financial services authority - role and scope
-The fsa handbook
The FSA Handbook
-High level principles for firms and individuals
-Code of conduct for approved persons
-Senior management systems and controls
-Conduct of business rules
-Types of client
-Different rules for different types of client
Market manipulations and market abuse
Training and competence
In house compliance arrangements
The Compliance function
Investment Education PLC