Description
This course Provides a comprehensive overview of the essential principles and practices of regulatory compliance within the financial services industry. It covers key areas such as regulatory enforcement actions, senior management responsibilities, and consumer protection, focusing on aspects like financial promotions, vulnerable customers, and the necessary training and competence standards. Participants will gain an understanding of the various regulatory frameworks that govern the sector, the penalties for non-compliance, and the processes firms must follow to maintain adherence. Through detailed discussions on product oversight and governance, as well as senior management arrangements, this course equips professionals with the knowledge to navigate regulatory requirements effectively, ensuring both legal compliance and ethical responsibility in their operations.
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