UK Financial Regulation Basics Training

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Additional languages available
Meets accessibility standards
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Course Summary

UK financial regulation can feel like a maze of rules, regulators, and acronyms. This Ethena course gives staff a clear grounding in how the FCA and PRA oversee firms, products, and conduct across the UK.

How the FCA and PRA work
From EU directives to UK law
The SM&CR and personal accountability
GDPR and ESG in financial services

Included Modules:

Setting the Scene: UK Financial Regulation

Introduces the UK regulatory landscape and the roles of the FCA and PRA in supervising firms, markets, and consumer protection across financial services.

The Rules That Shape UK Financial Regulation

Explains the FCA Handbook, PRA Rulebook, and the Financial Services and Markets Act 2000 that together set the framework for regulated UK firms.

From EU Directives to UK Law

Outlines how EU directives like MiFID II were onshored into UK law after Brexit and how the regime continues to diverge over time.

How Financial Products Are Regulated in the UK

Examines how the FCA authorises and supervises financial products, covering disclosure, suitability, and the protections that apply to UK consumers.

Understanding the SM&CR

Explains the Senior Managers and Certification Regime, which sets personal accountability, certification requirements, and the FCA Conduct Rules for individuals in firms.

Understanding GDPR in a UK Financial Context

Covers how UK GDPR and the Data Protection Act 2018 govern handling of customer data within regulated financial services firms and their obligations.

ESG in UK Financial Services

Introduces environmental, social, and governance expectations, including FCA sustainability disclosure rules and how ESG factors shape UK financial decision-making.

Why is this training important for workplaces?

Anti-money laundering (AML) is crucial for maintaining the integrity of financial systems and preventing illegal activities. Implementing strong AML measures protects businesses from reputational damage, legal consequences, and financial losses. It ensures compliance with regulatory requirements and enhances trust among clients, investors, and stakeholders. By understanding and actively addressing money laundering risks, organizations can foster a safe and secure environment, safeguard their assets, and contribute to the overall stability of the financial ecosystem.

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