FSA Financial Regulation - Course

Comments about FSA Financial Regulation - Course - At the institution - Bromley - Greater London

• Objectives
  The aim of the examination is to ensure candidates have an understanding of the regulations and legislation that underpin the financial markets and the conduct of investment business. On completion of the unit, candidates will be familiar with the regulatory environment in which the UK securities industry operates, know the relevance of the Financial Services and Markets Act 2000 and associated legislation and regulations; understand FSA’s Conduct of Business Rules and know the complaints and redress procedures.
• Entry requirements
  Entry requirements There are no formal entry requirements for the Introduction to Investment qualification. Experience in the industry will help candidates relate what they are learning to the job they are doing but it is not a requirement of taking the qualification. Entry is subject to a formal interview.
• Academic Title
  FSA Financial Regulation
• Course description
  Course content
  
  The course will cover:
  
      * The Regulatory Environment
      * The Financial Services and Markets Act 2000
      * Associated Legislation and Regulation
      * European Union Directives
      * The FSA Conduct of Business Sourcebook / Client Assets Sourcebook
      * Complaints and Redress
  
  Teaching and assessment
  
  Students sit the one hour exam via Computer based testing at the College.
  
  Progression
  
  This is the second of three modules making up the full Investment Award Qualification.

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