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Regulatory Cornerstones

Price £

175

+VAT

Duration

90 minutes

We can run this course inhouse or privately just for you and your colleagues.

 

Please submit a training request to check availability and prices.

About the Course

The aim of this training course is to provide an in-depth understanding of the cornerstones of UK financial services regulation, including the PRA Fundamental Rules and FCA Principles for Businesses, CASS, Financial Crime, Market Conduct, Selling Products including Marketing (Financial Promotions), Individual Accountability (SMCR), systems and controls, and good corporate governance.

Gain an in-depth understanding of UK financial services regulation with this training course for compliance professionals. Learn about the cornerstones of regulation, including PRA Fundamental Rules, FCA Principles, CASS, Financial Crime, Market Conduct, Selling Products, Individual Accountability, systems and controls, and corporate governance.

Learning Outcomes

By the end of the course participants will:

  • Understand the concept of financial services regulation in the UK, its purpose and role in maintaining financial stability and protecting consumers. 

  • Explain the PRA Fundamental Rules and FCA Principles for Businesses, their key features, and why they are considered as the cornerstones of UK financial services regulation. 

  • Identify the requirements of CASS, its importance in protecting clients' assets, and the consequences of non-compliance. 

  • Discuss the key features of financial crime, including money laundering, fraud, and bribery, and how they are regulated in the UK. 

  • Explain the principles of market conduct, including insider trading, market manipulation, and conflicts of interest, and their impact on financial markets and consumers. 

  • Understand the requirements for selling financial products, including the rules around financial promotions and marketing. 

  • Discuss the Individual Accountability regime (SMCR) and its impact on the accountability of senior managers and employees in financial services firms. 

  • Explain the importance of effective systems and controls in preventing regulatory breaches and maintaining a strong compliance culture. 

  • Understand the principles of good corporate governance, including board composition, risk management, and transparency. 

By the end of the training course, participants will have a comprehensive understanding of the key cornerstones of UK financial services regulation, the rationale behind them, and the requirements for compliance. They will also have gained practical insights and knowledge on how to effectively apply these regulations within their respective roles in the banking industry.

Course Outline

This training course is designed for banking professionals who are seeking to deepen their understanding of UK financial services regulation. The course covers the cornerstones of regulation, including the PRA Fundamental Rules and FCA Principles for Businesses, the protection of clients' assets (CASS), financial crime, market conduct, selling products including marketing (financial promotions), individual accountability (SMCR), systems and controls, and good corporate governance. 


Participants will gain practical insights and knowledge on how to effectively apply these regulations within their respective roles in the banking industry. 


The course is delivered by experienced professionals in the field of financial regulation and compliance, who will provide real-life examples and case studies to facilitate a practical understanding of the regulatory landscape. By the end of the course, participants will have a comprehensive understanding of the key cornerstones of UK financial services regulation, the rationale behind them, and the requirements for compliance.

Required Knowledge and Skills

The course is suitable for anyone in a firm that is regulated by the PRA or FCA. This course can be adapted so that it specifically addresses individuals working in specific roles such as risk and compliance, front, back, and middle office personnel, board members, and senior managers.

About Your Trainer

Daiman Baker

Daiman Baker

Daiman has 20 years of experience in London-based investment banks in front office compliance advisory roles and in delivering regulatory change across multiple EU and UK pieces of legislation.

Leveraging his background as a lawyer, Daiman delivers design, implementation, remediation projects, business governance / management structures, SME / regulatory interpretation input, policy and procedure drafting and training.

At Leaman Crellin Daiman focuses on regulatory consulting and training to firms, both TradFi and those operating in the Web3 space.

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