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Regulation Essentials

The financial crisis of 2007-2008 was the worst the world had seen since the Great Depression of the 1930’s. Widespread failures in financial regulation were one of the main causes of the crisis and, as a result, many governments around the world put in place new regulatory regimes to make the financial system and the institutions within it stronger and better supervised. This Introduction to Regulation Essentials course is designed to give you an overview of the main regulatory requirements that apply to you as an employee of a financial services firm.

Geography Covered: Americas, EMEA | Duration: 30 minutes

Summary

The UK’s Financial Services Act of 2012 paved the way for a radically different regulatory regime designed to make the systems and firms within it more robust. As of April 1, 2013, the previous regulator, the Financial Services Authority (FSA), ceased to exist and was replaced by three new regulatory agencies: the Financial Policy Committee (FPC), the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA). The overall aim of these agencies is to maintain soundness and confidence in the financial services industry and to protect vulnerable consumers from harm.

In Canada, federal regulators, provincial securities regulators, self-regulatory organizations and investor protection organizations all play a role in overseeing financial regulation. The purpose of all financial regulation in Canada is to protect investors and foster public confidence in the transparency and fairness of capital markets.

The topics covered in the course include:

  • The importance of regulation
  • Regulatory landscape
  • How the system works
  • Personal conduct
  • Financial crimes
  • Managing conflicts of interest
  • Responsibilities
    • Regulation Essentials (UK)
    • Regulation Essentials (Canada)
  • Like with all our courses, the Introduction to Regulation Essentials courses are written by experts and powered by world-leading regulatory intelligence, which tracks more than 900 regulators and exchanges globally to ensure the course content is always up to date.

    All our training courses are driven by practical examples and interactive scenarios to ensure users truly understand and recognize the issues of most importance to your business and learn to instinctively act to support them.

    We employ instructional design techniques optimized for risk and compliance training, enabling your business to educate in a way that reduces risk and helps you build a culture of integrity and compliance.

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