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The UK Regulatory Regime

Price £

155

+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

This course provides a deep understanding of the UK regulatory regime for banking professionals who need to learn more about the UK regulatory regime.

This course aims to provide compliance professionals with an in-depth understanding of the UK regulatory regime governing the financial services industry. Participants will learn about the background to statutory regulation in the UK, how regulation is made, the different types of regulation, and the key features of the Financial Services and Markets Act (FSMA).

Additionally, participants will learn how to navigate the FCA Handbook and PRA Rulebook, enabling them to better comply with regulatory requirements and protect their clients.

Learning Outcomes

Upon completion of this course, participants will be able to: 

  • Understand the historical and political context that led to the establishment of statutory regulation in the UK 

  • Explain the key steps involved in the regulatory process and the role of different stakeholders in the process 

  • Differentiate between different types of regulation, such as prudential and conduct regulation, and understand their respective objectives 

  • Understand the main provisions of the FSMA, including the principles of regulation, regulatory powers, and enforcement mechanisms 

  • Navigate the FCA Handbook and PRA Rulebook, including understanding the structure, content, and key provisions of each 

  • Apply their knowledge of the UK regulatory regime to practical scenarios and identify areas of regulatory risk and compliance requirements 

  • Develop strategies for managing regulatory risk and complying with regulatory requirements, including identifying and implementing best practices. 

This course is designed to provide participants with the knowledge and skills necessary to navigate the complex UK regulatory regime and comply with regulatory requirements, thereby enhancing the reputation of their institutions and protecting their clients.

Course Outline

This course is designed to provide participants with an in-depth understanding of the UK regulatory regime governing the financial services industry. 


Participants will learn about the historical and political context that led to the establishment of statutory regulation in the UK, how regulation is made, and the different types of regulation, including prudential and conduct regulation. Additionally, participants will gain a thorough understanding of the Financial Services and Markets Act (FSMA), including the principles of regulation, regulatory powers, and enforcement mechanisms. 


The course will also cover how to navigate the FCA Handbook and PRA Rulebook, including understanding the structure, content, and key provisions of each. Through case studies and practical exercises, participants will learn how to apply their knowledge of the UK regulatory regime to identify areas of regulatory risk and compliance requirements, and develop strategies for managing regulatory risk and complying with regulatory requirements. 


Upon completion of this course, participants will have the knowledge and skills necessary to navigate the complex UK regulatory regime and comply with regulatory requirements, thereby enhancing the reputation of their institutions and protecting their clients.

Required Knowledge and Skills

The course is suitable for anyone in the financial services industry. 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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