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Introduction to UK Financial Regulation & Professional Integrity

The CIFA UK Financial Regulation and Professional Integrity Course offers an overview of the regulatory framework for financial services in the UK. Learn about the roles of the FCA and PRA, legal concepts, professional ethics, and the impact of government and economic factors on the sector. Gain essential knowledge to uphold integrity and protect consumers in financial services. This is a CIFA Level 4 course leading to a CIFA examination. Approximate total study time is 160 hours. Free certificate will be issued once exam is successfully passed. (2025 Edition)

by CIFA Management | Instructor Level 4

What you will learn

  • The UK Government’s role in the economy

  • Factors that influence the UK financial services sector

  • The main financial needs, priorities and risks of UK consumers

  • Legal concepts related to financial advice

  • Professional Ethics

  • The financial regulation structure in the UK

  • The regulatory strategies of the FCA and the PRA

  • The main FCA principles, rules and requirements relating to the conduct of business

The introduction to UK financial regulation and professional integrity course provides a comprehensive overview of the regulatory framework governing financial services in the United Kingdom. It covers key topics such as the role of regulatory bodies like the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA), the principles of conduct and integrity in financial services, and the obligations of professionals working in the industry. The course aims to equip participants with a solid understanding of the regulatory environment, ethical considerations, and their responsibilities as financial professionals in maintaining integrity and protecting consumers.

2025 Edition

Key Learning Outcomes

  • Gain insights into the pivotal role of the UK government in the economy, including its impact on financial markets and consumer protection.
  • Explore the primary financial needs, priorities, and risk factors facing UK consumers, equipping participants with the knowledge to effectively address their clients' financial concerns.
  • Instill a strong foundation in ethical considerations within the finance sector, emphasizing the importance of integrity, fairness, and transparency in financial advice.
  • Acquire knowledge of the regulatory strategies employed by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA), understanding how these bodies oversee and protect consumers within the financial services industry.
  • Understand the factors influencing the UK financial services sector, including economic conditions, regulatory changes, and technological advancements. - Get introduced to legal concepts pertinent to financial advice, ensuring compliance with relevant legislation and safeguarding clients' interests.
  • Develop a comprehensive understanding of the structure of the UK's financial regulation, including the roles and responsibilities of key regulatory bodies.
  • Delve into the FCA's principle rules, regulations, and requirements concerning business conduct, gaining a thorough understanding of the standards that govern financial advice providers.

 

Who Should Enroll

This course is suitable for a range of individuals involved in the financial services industry, including:

  • Investment bankers
  • Asset managers
  • Compliance officers
  • Risk managers
  • Legal professionals working in finance
  • Accountants and auditors in the financial sector
  • Professionals transitioning into roles within financial services

 

Certification

Once you have successfully passed your exams, you will receive a digital certificate after the exam has been proctored. Additionally, a printed certificate can be delivered by post (please inquire with customer service for the cost). All of our courses are fully accredited, providing you with the latest skills and knowledge to enhance your competence and effectiveness in your chosen field. Our certifications have no expiry dates.

Accreditation

Our courses are fully accredited. They provide you with the latest skills and knowledge, enhancing your competence and effectiveness in your chosen field.

CPD ACCREDITATION LINK

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Chapter 1: Professionalism and Ethics in UK Financial Services: Best Practices and Standard (Part 1)
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Chapter 1: Professionalism and Ethics in UK Financial Services: Best Practices and Standard (Part 2)
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Chapter 2: UK Capital Markets: Understanding the Financial Landscape (Part 1)
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Chapter 2: UK Capital Markets: Understanding the Financial Landscape (Part 2)
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Chapter 3: Contract & Trust Law in UK Financial Markets: An Overview (Part 1)
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Chapter 3: Contract & Trust Law in UK Financial Markets: An Overview (Part 2)
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Chapter 4: Managing Risk in UK Monetary Services (Part 1)
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Chapter 4: Managing Risk in UK Monetary Services (Part 2)
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Chapter 5: Regulators of UK Financial Services: Understanding Their Roles and Responsibilities (Part 1)
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Chapter 5: Regulators of UK Financial Services: Understanding Their Roles and Responsibilities (Part 2)
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Chapter 6: Governance, Principles & Regulations: Navigating the FCA & PRA Framework (Part 1)
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Chapter 6: Governance, Principles & Regulations: Navigating the FCA & PRA Framework (Part 2)
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Chapter 7: Competence of Companies & Individuals in UK Financial Markets: Meeting FCA & PRA Standards
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Chapter 8: Regulations Relating to Financial Crime: Compliance and Enforcement (Part 1)
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Chapter 8: Regulations Relating to Financial Crime: Compliance and Enforcement (Part 2)
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Chapter 9: Complaints & Redress in UK Financial Markets: Resolving Disputes Effectively (Part 1)
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Chapter 9: Complaints & Redress in UK Financial Markets: Resolving Disputes Effectively (Part 2)
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Chapter 10: COBS: Conduct of Business Sourcebook of the FCA: Understanding the Rules & Requirements (Part 1)
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Chapter 10: COBS: Conduct of Business Sourcebook of the FCA: Understanding the Rules & Requirements (Part 2)
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Chapter 10: COBS: Conduct of Business Sourcebook of the FCA: Understanding the Rules & Requirements (Part 3)
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Chapter 10: COBS: Conduct of Business Sourcebook of the FCA: Understanding the Rules & Requirements (Part 3)

Slide Doc
Chapter 1: Professionalism and Ethics in UK Financial Services: Best Practices and Standard
Slide Doc
Chapter 2: UK Capital Markets: Understanding the Financial Landscape
Slide Doc
Chapter 3: Contract & Trust Law in UK Financial Markets: An Overview
Slide Doc
Chapter 4: Contract & Trust Law in UK Financial Markets: An Overview
Slide Doc
Chapter 5: Regulators of UK Financial Services: Understanding Their Roles and Responsibilities
Slide Doc
Chapter 6: Governance, Principles & Regulations: Navigating the FCA & PRA Framework
Slide Doc
Chapter 7: Competence of Companies & Individuals in UK Financial Markets: Meeting FCA & PRA Standards
Slide Doc
Chapter 8: Regulations Relating to Financial Crime: Compliance and Enforcement
Slide Doc
Chapter 9: Complaints & Redress in UK Financial Markets: Resolving Disputes Effectively
Slide Doc
Chapter 10: COBS: Conduct of Business Sourcebook of the FCA: Understanding the Rules and Requirements

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£ 358.00

  • Course Duration
    160 CPD hrs
  • Course Level
    Intermediate
  • Language
    English
  • Product Type
    Digital
This Course Includes
  • 160 CPD Hrs CPD Verified
  • Mock Exams - Per Chapter
  • Lifetime Portal Access
  • Certificate of Achievement
    (After successfully completing and passing exam)
  • Your very own "Digital Profile"
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