• Access for life

    You will have access to the course after you complete it. So if you wish to review the content at a later stage, or take the course all over again, you can!

  • Self-paced learning

    Progress through the course material at your own pace, without being restricted by a rigid schedule or deadlines.

  • Access any time, anywhere

    Simply log in online, from any device, to access all your learning data.

Course curriculum

    1. Introduction

    2. What this course covers

    1. Roles of the Bodies in the Regulatory Architecture

    2. What is the FCA

    1. Legal Foundations

    2. Appointed Representatives

    3. Knowledge check 1

    4. The General Prohibition

    5. Regulated Activities Order

    6. Financial Promotions

    7. Promotion of Collective Investment Schemes

    1. Principles-Based Regulation

    2. The 12 FCA Principles for Business

    3. Demonstrating compliance with Principles-based regulation

    1. The Regulated Activties

    2. Common illegal activities

    3. Operating an illegal collective investment

    4. Illegal Credit Broking

    5. Illegal Lending Activities

    6. Illegally "making arrangements"

    7. Illegal debt activity

    8. "By way of business" and the territorial nexus

    9. Knowledge check 2

    10. Why is this important?

    11. Ownership/Control of regulated firms

    12. What is "control"?

    13. Knowledge check 3

    1. Threshold Conditions and Financial Resources

About this course

  • £45.00
  • 44 lessons
  • 1.5 hours of video content

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