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?

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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