UK Financial Regulation Compliance Training

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Additional languages available
Meets accessibility standards
Auto-save training, mobile-friendly
Deliver on Ethena or your LMS (SCORM)

Course Summary

The UK’s financial system runs on rules set and enforced by the FCA and PRA. This Ethena course gives staff a clear map of the regulatory landscape, the personal conduct standards they must meet, and their part in fighting financial crime.

How UK financial regulation works
The roles of the FCA and PRA
Conduct rules that apply to you
Your role in combating financial crime

Included Modules:

Setting the Scene: UK Financial Regulation

Introduces why the UK regulates financial services and how rules protect consumers, markets, and firms from harm following the 2008 crisis.

Mapping the UK Regulatory Environment

Explains the roles of the FCA and PRA, the bodies that authorise and supervise firms to ensure conduct, soundness, and market integrity.

How Personal Conduct Rules Apply to You

Covers the FCA Conduct Rules under the SM&CR, setting out the standards of honesty, care, and integrity every individual must meet.

Your Role in Combating Financial Crime

Explains your duties under UK anti-money laundering and anti-bribery laws, including spotting suspicious activity and reporting concerns promptly.

Why is this training important for workplaces?

UK financial regulation sets clear expectations for how firms handle money, customers, and risk, and the FCA can hand down heavy fines, restrictions, or even criminal liability when those rules get broken. One mis-sold product, a missed disclosure, or a sloppy approach to market conduct can cost a firm millions and shred the trust it took years to build. When teams understand what’s required and apply it day to day, the business stays compliant, treats customers fairly, and protects its license to operate. This training gives people the practical knowledge to make the right call before a small slip turns into a regulatory problem.

"Ethena helped us embed clear standards directly into how we operate and grow. That's what designing for trust at scale actually looks like."

Jacob Leon Beier Chief Compliance Officer & Counsel, TriMark USA

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Darryl Cyphers, Jr. Senior Director of Legal Compliance, Klaviyo

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Giovanna Travieso Lead-People Experiences & Growth, Magic Leap