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Central Law Training is the UK’s leading provider of post-qualification training for legal professionals. Over 30 years, we’ve helped thousands of people from law firms large and small enhance their skills, increase their expertise and meet their professional development requirements. View our comprehensive suite of legal training below:

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As part of our comprehensive legal training solution, we offer specialist training, accreditation schemes and professional qualifications in the legal, corporate, financial, property and other professional sectors. Through our network of partnerships with the country’s leading universities, professional associations and qualification bodies, we can offer you a wide range of qualifications to help you progress your career, increase your marketability, and achieve your goals.

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Central Law Training is a leading provider of specialist paralegal training, pioneering the concept over 20 years ago. Flexible distance learning in your chosen area of law enables you to gain a graduate level subject specific Specialist Paralegal Qualification that fits around your current work and family commitments. View our comprehensive suite of specialist paralegal qualifications below:

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We are the UK’s leading provider of post-qualification training for legal professionals. For 30 years, we’ve helped thousands of students and professionals from companies large and small enhance their skills, increase their expertise and meet the SRA continuing competency requirements.

We have dedicated phone numbers for our departments so you can get help with your enquiries efficiently and effectively.

FCA Compliance: An Introduction

The Financial Conduct Authority is responsible for regulating the financial services sector, which comprises 56,000 firms employing over 2.2 million people. Lawyers advising firms in this sector need to understand its approach to regulation.

This half day course is aimed at lawyers, both in-house and in practice, who advise in connection with FCA regulation, and non-lawyers working for authorised firms who want to understand the principles which underpin the compliance regimes in which they operate.

It provides an overview and introduction to the theory and practice of the FCA regime and particularly focuses on:

FCA status, objectives and powers
S19 FSMA/the General Prohibition
Exempt firms
Regulated activities/exemptions
Alternatives to authorisation
Applying for authorisation
Supervision and reporting
Individual responsibility/the Senior Managers Regime
FCA enforcement
The "Handbook" requirements

Type	Public Course
Level	Foundation
Duration	3.0 Hours
SRA	A, B, D

Did you know? Members can receive packages from £37.50/hour
Click here to find out more >

View Details

View dates / prices

Speakers

Richard Humphreys

Details and courses

Testimonials

Richard very helpful and made a complicated topic understandable.

Very helpful overview of FCA Compliance which impacts a good understanding of context for advising clients.

Presenter very knowledgeable on the subject matter.

Available dates (1)
Thu 2 Apr 2020 - 2:00PM	London	Members save up to 50% off training£255

Purchase course documentation
Course Notes - FCA Compliance: An Introduction	£60

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