Training Course:An Introduction to UK Financial RegulationSchool/Trainer:UNICOM
London, Uxbridge, Middlesex, United Kingdom
Course Format: Classroom | E-learning | Virtual Class | Online | On-site | Blended | Self-paced
Course Description:
'' This one-day course provides a practical, comprehensive introduction and guide to UK Financial regulation; covering the current and evolving guidelines, conduct of business, markets and exchanges, solvency requirements, money laundering, global jurisdictions, and a number of other areas.
Objectives
To understand the general principles of financial services regulation
To understand what a firm needs to do to comply with the regulations
To understand when an organisation may need FSA authorisation
Who should attend?
This course will benefit directors and senior managers of authorised firms, employees of financial firms not directly involved in compliance work, all involved in the City or in insurance, accountants and solicitors with clients in the financial services sector or who are in authorised firms.
Programme
9.00 Registration and Coffee
9.30 Start
History of regulation
Scandals
Tulips
South Sea bubble
US examples
Self regulation
Statutory regulation
Early regulators
Mediaeval guilds
Professions
Stock exchanges
Central Banks
Economic basis for regulation
Consumer confidence
Public benefit
Costs:
o regulator
o regulated
o bureaucratic inefficiencies
Effect on competition
Interesting cases over the last 20 years
Norton Warburg
Barlow Clowes
Pension mis-selling
Banks mis-selling
Various SIB cases
Split capital trusts
Equitable Life
Other jurisdictions
Norton Warburg
Barlow Clowes
Pension mis-selling
Banks mis-selling
Various SIB cases
Split capital trusts
Equitable Life
Other jurisdictions
Accountability
Parliament
Parliamentary Select Committee
Treasury
FSA
Split capital trusts
Consumer lobby and compensation culture
The current system
Accountability
Parliament
Parliamentary Select Committee
Treasury
FSA
Split capital trusts
Consumer lobby and compensation culture
Fundamentals
Statutory objectives
’Have regards to’
Requirements for consultation
Separation of enforcement powers
European directives
Human Rights Act
Practitioner and consumer panels
Coffee
Activities covered
Banking
Mortgages
Insurance - life
Insurance - general
Dealing and broking
Selling
Advising
Numbers of firms and size of industry, importance to UK
Basis of the Handbook
Principles
Rules
Guidance
Evidential provisions
Systems and controls
Apportionment of responsibilities
Monitoring of transactions
Record keeping
Applications
Fitness and propriety
Honesty
Solvency
Competence
Approved Persons
Requirements for specified activities
Fitness and propriety of individuals
Competence requirements
Solvency requirements
Banks
Insurance companies
Stockbrokers
IFAs Etc
Basel
Conduct of business
Clear, fair and not misleading
Financial promotions
Commission
Client classification, terms of business
Know your customer and suitability
Charges
Clients’ money
Markets and exchanges
Recognition
Exchanges
Clearing houses
Others
Listing requirements
The European dimension
Solvency
Passporting
Competition
How non-UK firms can do financial services business in the UK
Branches
Service basis
Disclosure
Others
Conduct of business rules
Lunch
Money laundering
Identification of customer systems and MLRO reporting
Record keeping
European directive
FSA enforcement actions
NCIS
Tea
Compensation
Training and competence
Qualifications
Continuing assessment
Complaints
How to deal with record keeping
Financial Services Ombudsman Service
Reporting and notification
Supervision
New regulator for the new millennium
Risk based supervision
Enforcement
Powers
Procedures
The future
It can only get worseĦ
...''
Please go to the school's official website for training price and schedule:
http://www.unicom.co.uk/
Phone:+44 (0)1895 256484
School Address:
UNICOM R&D House
One Oxford Road
Uxbridge, Middlesex
UB9 4DA, UNITED KINGDOM
Tel: +44 (0)1895 256484
Fax: +44 (0)1895 810201
Email: info@unicom.co.uk
Jobs & Resumes: London, Uxbridge
Houses & Roommates: London, Uxbridge
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