Regulations Relating to Financial Crime

Financial Regulation Courses (FRC)

Overview

The Regulations Relating to Financial Crime course, offered by Financial Regulation Courses (FRC), provides a comprehensive overview of the key regulatory frameworks designed to combat financial crime.
This course covers areas such as anti-money laundering (AML), terrorist financing, market abuse, and bribery legislation.
Learners will explore the relevant UK and EU regulations, including the FCA’s approach to preventing financial crime, the Market Abuse Regulation (MAR), and the Proceeds of Crime Act (POCA).
This course equips financial professionals with the necessary tools and knowledge to detect, prevent, and report financial crime in compliance with legal standards.

Learning Objectives

By the end of this course, learners will:

• Understand the FCA’s approach to preventing financial crime and its importance in corporate governance and ethical business practices.


• Learn about the Market Abuse Regulation (MAR) and how it is applied to prevent market manipulation and insider dealing.


• Explore the principles of anti-money laundering (AML) and terrorist financing prevention, including the relevant UK laws and EU directives.


• Understand the Bribery Act 2010 and its implications for businesses, including the concept of adequate procedures to prevent bribery.


• Gain insight into the Proceeds of Crime Act (POCA) and the responsibilities of firms under the Money Laundering Regulations.


• Learn the importance of reporting suspicious transactions and complying with regulatory requirements for market transparency.


• Analyse how firms can effectively mitigate financial crime risks through compliance programs, staff training, and internal controls.

Learning Outcomes

Upon successful completion of the course, learners will:

• Be able to identify and mitigate risks associated with financial crime in line with UK and EU regulatory requirements.


• Confidently apply the principles of the Market Abuse Regulation to prevent and detect market manipulation and insider trading.


• Implement anti-money laundering (AML) policies and procedures, including identifying suspicious activities and reporting them.


• Ensure compliance with the Bribery Act by implementing and maintaining adequate procedures to prevent bribery within their organisations.


• Understand and apply the Proceeds of Crime Act (POCA), including the processes for detecting and preventing the laundering of illicit funds.


• Prepare and submit Suspicious Activity Reports (SARs) and ensure compliance with the FCA’s regulatory guidelines on reporting.


• Develop and implement compliance programmes to safeguard businesses from the risks of financial crime.