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.
Available as part of our FCA Compliance Library.
This course will prepare your employees to:
- Principles-based regulation
- Exercise: Principles for Businesses
- Comparing the Principles with the Conduct Rules
- Exercise: Types of clients
- TCF outcomes
- Exercise: TCF
- Impact of MiFID
- Enforcement actions
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.