Diploma in UK Financial Regulations & Professional Integrity Level 4

Name: Diploma in UK Financial Regulations & Professional Integrity Level 4
Price: 20 GBP
Rating: 4.9 (18 reviews)

GET THIS COURSE AND 2500+ OTHERS FOR ONLY £49 FIND OUT MORE

Home
Curriculum

Enrolling in the “The Introduction to UK Financial Regulations & Professional Integrity Course” is essential for individuals in the financial sector. The course covers key aspects of UK financial regulations, ensuring compliance with legal standards and promoting ethical practices. It contributes to professional development by instilling a strong understanding of integrity, making participants more trustworthy in the eyes of clients and employers.

Additionally, the course aids in risk mitigation, as it equips individuals to identify and address potential risks associated with financial activities. By staying updated on the latest regulations, participants enhance their adaptability in the dynamic financial industry. Overall, completing this course offers a pathway to career opportunities, ethical decision-making, and a solid foundation for success in the ever-evolving field of finance.

The training materials of this course are available online for you to learn at your own pace and fast-track your career with ease.

Learning Outcomes:

Develop a comprehensive understanding of the structure and operations of financial markets in the UK.
Acquire the ability to assess various financial services and evaluate associated risks in the UK context.
Gain insights into the legal framework governing contracts and trusts in the UK.
Understand the roles and functions of key financial services regulators in the UK.
Develop skills to detect, prevent, and respond to financial criminal activities in the financial services sector.

Sneak Peek

Who should take the course

Financial Analysts
Compliance Officers
Legal Professionals in Finance
Risk Managers
Financial Advisors

Career Paths

Financial Compliance Officer
Risk Analyst
Legal Advisor in Financial Services
Financial Market Analyst
Financial Services Consultant

Certification

After successfully completing the Diploma in UK Financial Regulations & Professional Integrity Level 4 course, learners will be able to order an endorsed certificate as proof of their achievement. This certificate of achievement endorsed by the Quality Licence Scheme. You can have endorsed certificates delivered to your home via post for just £89.

After you’ve successfully completed your course, you will immediately be sent a CPD Accredited FREE Digital Certificate. You can have your FREE printed CPD Accredited Certificate delivered by post (shipping cost £3.99).

Accreditation

All of our courses including Financial Regulations Course, are fully accredited, providing you with up-to-date skills and knowledge and helping you to become more competent and effective in your chosen field.

CPD Accreditation Link

Course Curriculum

The detailed curriculum outline of our Diploma in UK Financial Regulations & Professional Integrity Level 4 is as follows:

Module 01: UK Financial Markets and Regulatory Institutions

Module 02: Governance and Regulations by FCA and PRA

Module 03: Consumer Protection, Complaints and Redress

Module 04: Regulatory Governance and Conduct Standards

Module 05: Professional Integrity and Ethics

Module 06: Investment Principles

Module 07: Risk Management

Module 08: Taxation in Investments

Module 09: Investment Advice and Portfolio Management

Reading Material

Understanding Financial Markets in the UK

Assessing Financial Services & Risk in the UK

Legal Framework on Contract & Trust

Ethics and Professionalism

UK Financial Services Regulators

FCA and PRA Governance, Principles, and Rules

FCA and PRA Competence of Companies and Individuals

Financial Crime Regulations

Complaints & Redress

FCA Conduct of Business Sourcebook (COBS)

Course Curriculum

Diploma in UK Financial Regulations & Professional Integrity Level 4
	Module 01: UK Financial Markets and Regulatory Institutions	00:18:00
	Module 02: Governance and Regulations by FCA and PRA	00:21:00
	Module 03: Consumer Protection, Complaints and Redress	00:14:00
	Module 04: Regulatory Governance and Conduct Standards	00:17:00
	Module 05: Professional Integrity and Ethics	00:18:00
	Module 06: Investment Principles	00:19:00
	Module 07: Risk Management	00:15:00
	Module 08: Taxation in Investments	00:15:00
	Module 09: Investment Advice and Portfolio Management	00:15:00
Reading Material
	Understanding Financial Markets in the UK	00:25:00
	Assessing Financial Services & Risk in the UK	00:25:00
	Legal Framework on Contract & Trust	00:24:00
	Ethics and Professionalism	00:25:00
	UK Financial Services Regulators	00:25:00
	FCA and PRA Governance, Principles, and Rules	00:25:00
	FCA and PRA Competence of Companies and Individuals	00:26:00
	Financial Crime Regulations	00:25:00
	Complaints & Redress	00:25:00
	FCA Conduct of Business Sourcebook (COBS)	00:26:00
Assignment
	Assignment – The Introduction to UK Financial Regulations & Professional Integrity	5 days, 16 hours
Optional Assessment
	Optional Assessment – Article Writing	5 days, 16 hours
Get Your QLS Endorsed Certificate
	Get Your QLS Endorsed Certificate	00:00:00
Transcript and Certificate
	Trust Pilot Review	00:00:00
	Transcript and Certificate	00:00:00