Governance, Principles and Regulations

Learn governance, principles, and regulations under the FCA and PRA with Financial Regulation Courses. Master the FCA and PRA's supervisory approaches, corporate governance, and compliance standards for financial services.

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Governance, Principles, and Regulations


Financial Regulation Courses (FRC)


Overview


The Governance, Principles, and Regulations course, offered by Financial Regulation Courses (FRC), delves into the regulatory framework set by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA).
This course covers the supervisory approaches of these authorities, their governance principles, and the enforcement of regulatory rules in the financial services industry.
Learners will explore effective corporate governance, risk management, and compliance standards.
The course also covers prudential and liquidity standards, the Remuneration Code, and regulatory enforcement procedures.


Learning Objectives


By the end of this course, learners will:


  • Understand the supervisory approaches of the FCA and PRA, including their role in maintaining market stability and consumer protection.

  • Comprehend the principles of effective corporate governance and how they influence business risk management.

  • Analyse the prudential and liquidity standards enforced by the FCA and PRA.

  • Learn about the Remuneration Code and its importance in promoting ethical conduct within financial institutions.

  • Recognise the regulatory enforcement processes, including the role of the Regulatory Decisions Committee (RDC).

  • Grasp the implications of non-compliance with FCA and PRA rules, including fines, sanctions, and potential business impacts.

  • Explore how the FCA and PRA promote fair and ethical outcomes in the financial services sector.


Learning Outcomes


Upon successful completion of the course, learners will:


  • Demonstrate an understanding of the FCA and PRA’s governance principles and their supervisory approaches.

  • Apply corporate governance best practices and manage business risks effectively.

  • Navigate the regulatory framework for prudential and liquidity requirements and ensure compliance.

  • Implement the Remuneration Code within financial institutions, ensuring alignment with regulatory standards.

  • Explain the enforcement powers of the FCA and PRA and manage the risks of non-compliance.

  • Identify the regulatory tools used by the authorities to promote market integrity and consumer protection.

  • Anticipate and mitigate the risks associated with regulatory breaches and improve organisational compliance.

£189.99

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This Text course includes:
Downloadable content
Video Available
Estimated Duration :
5:00 Hours
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