UK Compliance & Conduct Standards Certification

This 160 CPD hour specialised programme offers a comprehensive and focused exploration of the regulatory frameworks governing financial services within the United Kingdom. It is designed to provide participants with a thorough understanding of the UK’s financial regulatory system, its guiding principles, and the institutions responsible for oversight and enforcement.

The programme begins by establishing a strong foundation in professionalism and ethical standards specific to the UK financial sector. Emphasis is placed on the responsibilities of individuals and firms to act with integrity, fairness, and diligence, in alignment with regulatory expectations designed to protect consumers and maintain public trust.

Participants are introduced to the structure and function of the UK’s regulatory bodies, particularly the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA). The course examines how these institutions operate, their legal mandates, and the specific regulatory frameworks they administer. Key areas include conduct regulation, prudential supervision, governance, and firm-level compliance.

The programme also addresses essential legal components such as contract and trust law as they relate to financial markets, alongside in-depth discussions on managing risk within the UK regulatory environment. Particular attention is paid to the prevention of financial crime, including anti-money laundering and fraud, as well as the procedures for handling customer complaints and seeking redress through regulated channels.

Finally, the course explores the FCA’s Conduct of Business Sourcebook (COBS), offering insights into how its rules shape the daily operations of regulated firms and ensure consistent, transparent, and ethical treatment of clients across the industry.

Designed for both early-career professionals and experienced practitioners, this programme delivers the critical regulatory knowledge and practical skills needed to operate confidently and compliantly within the UK’s dynamic and highly regulated financial services landscape.