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The Regulatory Lifecycle

Price £

165

+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 participants with an understanding of the three key steps in the regulatory lifecycle: Authorisations, Supervision, and Enforcement. It explains how the lifecycle differs for individuals and works through the regulatory lifecycle from the perspective of both the regulated firm and the regulator.

This training course covers the 3 key steps in the regulatory lifecycle (Authorisations, Supervision, and Enforcement) and explains the differences for individuals. It provides insights from both the regulated firm and the regulator's perspectives, emphasizing the importance of compliance and the consequences of non-compliance.

Learning Outcomes

This course equips participants:

  • To understand the three key steps in the regulatory lifecycle: Authorisations, Supervision, and Enforcement. 

  • To gain knowledge of how the regulatory lifecycle differs for individuals. 

  • To identify the responsibilities of the regulated firm and the regulator in each step of the regulatory lifecycle. 

  • To understand the importance of compliance with regulatory requirements for individuals and firms. 

  • To recognize the consequences of non-compliance and the role of enforcement actions in maintaining regulatory standards. 

  • To apply the knowledge gained in the course to real-world situations related to the regulatory lifecycle. 

By the end of this training course, participants should have a clear understanding of the regulatory lifecycle and its impact on individuals and firms, and be able to apply this knowledge to their work or personal situations.

Course Outline

This training course is designed to provide participants with a comprehensive understanding of the three key steps in the regulatory lifecycle: Authorisations, Supervision, and Enforcement. The course will explain how the regulatory lifecycle differs for individuals and provide insights from both the regulated firm and the regulator's perspectives. 


The course will start with an overview of the regulatory lifecycle and its importance in maintaining regulatory standards. Participants will learn about the different stages involved in the lifecycle and the role of each stage in ensuring compliance with regulatory requirements. The course will then focus on each of the three key steps in the regulatory lifecycle. 


In the Authorisations stage, participants will learn about the process of obtaining licenses from the PRA and FCA. They will also gain an understanding of the regulatory requirements that need to be met for that licence to be granted. 


In the Supervision stage, participants will learn about the ongoing monitoring and oversight of regulated firms by regulators. They will gain insights into the different types of supervisory activities that regulators undertake, such as on-site inspections, off-site monitoring, and data analysis. Participants will also learn about the importance of risk-based supervision and how it helps regulators prioritize their resources. 


In the Enforcement stage, participants will learn about the consequences of non-compliance with regulatory requirements. They will gain an understanding of the different types of enforcement actions that regulators can take, such as fines, sanctions, and legal action. Participants will also learn about the principles of proportionality and due process that underpin the enforcement process. 


Throughout the course, participants will be provided with real-world examples of regulatory compliance and enforcement actions, helping them to apply their learning to practical situations. They will also be encouraged to ask questions and participate in discussions to deepen their understanding of the material. 


By the end of the course, participants should have a clear understanding of the regulatory lifecycle and its impact on individuals and firms. They should also be able to identify the responsibilities of regulated firms and regulators at each stage of the lifecycle, recognize the importance of compliance with regulatory requirements, and understand the consequences of non-compliance.

Required Knowledge and Skills

The course is suitable for anyone in financial services. This course can be adapted so that it specifically addresses individuals working in specific banking 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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