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Introduction to UK Financial Regulation & Professional Integrity

This is a CIFA Level 4 course leading to a CIFA examination. Approximate total study time is 140 hours (estimated timings for individual chapters are shown below).

Intermediate 5(4 Reviews)
Created by CIFA Education Management Last updated Fri, 19-Nov-2021 English
What will I 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

Curriculum for this course
22 Chapters
Introduction to UK Financial Regulation & Professional Integrity
22 Chapters
  • Chapter 1 UK Financial Markets
  • Chapter 1 Review Quiz 00:00:00
  • Sample Study Support PowerPoint for Chapter 1 Financial Markets in the UK
  • Sample Study Support Webinar for Chapter 1 Financial Markets in the UK 01:16:39
  • Chapter 2 UK Financial Services & Risks
  • Chapter 2 Review Quiz 00:00:00
  • Chapter 3 Contract & Trust: Legal Framework
  • Chapter 3 Review Quiz 00:00:00
  • Chapter 4 Professionalism and Ethics
  • Chapter 4 Review Quiz 00:00:00
  • Chapter 5 Regulators of the UK Financial Services
  • Chapter 5 Review Quiz 00:00:00
  • Chapter 6 Governance, Principles & Regulations (FCA and PRA)
  • Chapter 6 Review Quiz 00:00:00
  • Chapter 7 Competence of Companies & Individuals (FCA & PRA)
  • Chapter 7 Review Quiz 00:00:00
  • Chapter 8 Regulations Relating to Financial Crime
  • Chapter 8 Review Quiz 00:00:00
  • Chapter 9 Complaints & Redress
  • Chapter 9 Review Quiz 00:00:00
  • Chapter 10 COBS: the Conduct of Business Sourcebook of the FCA
  • Chapter 10 Review Quiz 00:00:00
Requirements
  • Level 3 qualifications or equivalent
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Description

The CIFA Introduction to UK Regulations and Professional Integrity is an in-depth, entry-level certification designed to give financial students and professionals a structured e-learning programme that advances their understanding of UK Regulations and Professional Integrity, a critical component for continuing professional development (CPD) within financial positions. Having a good understanding of the UK financial regulations is required when working within a regulated environment. 


The CIFA Introduction to UK Financial Regulations and Professional Integrity is suitable for both finance graduates with minimal expertise and specialists active in the working environment.


Undertaking the CIFA Introduction to UK Financial Regulations and Professional Integrity will enhance your professional understanding before taking career-specific FCA regulated qualifications in the designated field of expertise.


The Introduction to UK Financial Regulations & Professional Integrity course consists of 10 chapters covering:

UK Financial Markets

UK Financial Services & Risk

Contract & Trust: Legal Framework

Professionalism and Ethics

Regulators of the UK Financial Services

Governance, Principles & Regulations (FCA & PRA)

Competence of Companies & Individuals (FCA & PRA)

Regulations Relating to Financial Crime

Complaints & Redress

COBS: Conduct of Business Sourcebook of the FCA


The suggested study time for the course is 140 hours. Approximate study time for each chapter is as follows:

Chapter 1: UK Financial Markets - 11 hours

Chapter 2: UK Financial Services & Risk - 8 hours

Chapter 3: Contract & Trust: Legal Framework  - 7 hours

Chapter 4: Professionalism and Ethics - 14 hours

Chapter 5: Regulators of theUK Financial Services - 13 hours

Chapter 6: Governance, Principles & Regulations (FCA & PRA) - 14 hours

Chapter 7: Competence of Companies & Individuals (FCA & PRA) - 20 hours

Chapter 8: Regulations Relating to Financial Crime - 20 hours

Chapter 9: Complaints & Redress - 5 hours

Chapter 10: COBS: Conduct of Business Sourcebook of the FCA - 28 hours


This is a CIFA Level 4 course leading to a CIFA examination.

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About the instructor
  • 10 Reviews
  • 420 Students
  • 10 Courses
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The CIFA is proud to be providing professional online study solutions worldwide.

The Certified Institute for Further Accreditation (CIFA) is a training provider that develops professional certifications, tailored to highly specialist fields of employment.

Our entry-level certifications are designed to enable students to develop a basic knowledge of their specialist field prior to sitting professional qualifications by awarding bodies.

We focus on hard to enter niche industries including finance, languages and health and business-related topics.

We work with academics from universities worldwide and industry experts to author our certification programmes and pride ourselves on our dedication to the development of our students.

The CIFA is a name in education that you can rely on for professional development and globally recognised qualifications.

We believe in the sharing of knowledge and providing the world with the highest standards of education across various sectors.

Student feedback
5
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Reviews
  • Mon, 25-Jan-2021
  • Fri, 19-Feb-2021
    fantastic course!
  • Tue, 23-Mar-2021
    james lester
    My favorite unit I learnt so much about the (FCA)and how important they are thanks CIFA!
  • Fri, 20-Aug-2021
    Tze Wei Low
£298.00
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Includes:
  • 22 Chapters
  • Access on mobile and tv
  • Full lifetime access