Compliance Basics


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. 



  • Employees of financial services companies who need to understand basic Compliance  
  • New employees in FSA regulated Financial Service companies  

No prior knowledge is assumed




What is compliance?


-The uk regulatory environment


-The financial services and markets act 2000

-The financial services authority - role and scope

-The fsa handbook


The FSA Handbook

-MiFID Impact


-High level principles for firms and individuals


-Code of conduct for approved persons


-Senior management systems and controls


-Conduct of business rules


-Client assets


Client  categorisation


-Types of client


-Different rules for different types of client


Insider dealing


Market manipulations and market abuse


Money laundering


Training and competence


Regulatory processes


In house compliance arrangements


The Compliance function




Todays Date:

Duration 1 day
Fee Available as an in-house course

Investment Education PLC
45 Old Hall Road, Manchester M7 4JF, United Kingdom
Tel:+44 (0)161 832 3800
Registered in England Number 2129160
VAT Registered Number GB 480 2112 85

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