Principles for Businesses Course

The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system. Dual-regulated firms will need to be mindful of the Prudential Regulation Authority's Fundamental Rules.

Whether a firm is solo or dual-regulated, the FCA's Principles for Businesses encompass the main dimensions of the conduct standards set out for all firms.

Our Principles for Businesses Course explains the FCA's Principles for Businesses that apply to financial services firms in the UK.

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Principles for Businesses

About this Course

This SCORM-compatible course is part of our FCA Compliance Library.

The library is available in the Skillcast Standard plan for larger companies or Skillcast Basic plan for those with under 50 learners.

Learning Objectives

This course will prepare your employees to:

  • Recognise the purpose of the Principles for Businesses
  • Know the Principles for Businesses and how they apply to different types of clients
  • Appreciate the consequences of breaching the Principles

Latest Course Updates

  • Course redesigned with a more modern feel
  • Full review conducted by an FCA expert
  • Text & image updates throughout the course

Course outline


What are Principles for Businesses?

- Fundamental Rules
- Different objectives

Why are the Principles for Businesses growing in importance?

What do the Principles mean?

- Exercise: Principles for Businesses

Putting the Principles into practice

- Principle 1: Integrity
- Principle 2: Skill, care & diligence
- Principle 3: Management & control
- Principle 4: Financial prudence
- Principle 5: Market Conduct
- Principle 6: Customers' interests
- Principle 7: Communications with clients
- Principle 8: Conflicts of interest
- Principle 9: Customers: relationships of trust
- Principle 10: Clients' assets
- Principle 11: Relations & regulators
- Principle 12: Consumer Duty

Outcome-focused regulation

Comparing the Principles with the Conduct Rules

Consequences of breaching the Principles




Course Specifications



Approximately 20-minute long e-learning course followed by a 10-question assessment.



Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.



SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via a client style sheet.



All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.



Fully customisable on Skillcast Portal CMS.



Pre-translated versions not available, but all text content can be exported for translation into all languages.



Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.

FCA Courses Library

Our FCA Course library of over 60 training modules covers everything from high-level and conduct of business standards to thematic topics, including treating customers fairly.

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FCA Courses Library