• The Financial Services and Markets Act
• Regulators
• Principles based regulation
• The Financial Services Authority and associated legislation
• European Union legislation
• An introduction to the Conduct of business rules
• Recent FSA enforcement notices

A firm’s Training and Competency records should evidence that management and staff understand the role of the FSA and it's approach to regulation.

To assist you with this requirement attendees will receive access to an online competency test. The test consists of a series of multiple choice questions, designed to test your knowledge and undertstanding of the training.