Description
Given its role and importance to any functioning modern economy, 'trust' is an
essential ingredient between providers of financial services, its clients and
even wider society. Culture, conduct and ethics are words which have come to
pepper the regulatory lexicon. The importance of these intangible concepts and
'getting it right' has been clearly communicated, and myriad speeches and
initiatives in the financial services sector focus on these themes.
This programme does not purport to dictate how firms should define their values
or operate their businesses. However, lawmakers, regulators and society have
defined certain minimum expectations and standards of behaviour from the
perspective of customer and business outcomes. These are sometimes framed or
described (whether explicitly or implicitly) as issues of trust, integrity or
honesty; concepts which have a distinct ethical underpin.
Firms and individuals operating in the sector must be conscious and mindful of
these standards and expectations and consider both whether they are satisfying
the letter and spirit of the rules and/or guidance and whether the values and
principles which they have set for themselves are effective in directing and
delivering the firm's desired outcomes.
Training Duration
This course may take up to 2 hours to be completed. However, actual study time
differs as each learner uses their own training pace.
Participants
This course is ideal for anyone wishing to know more about Ethics, Integrity and
Fairness in Financial Services, and the regulatory requirements for investment
firms, insurance and banking institutions. It is also suitable to professionals
pursuing regulatory CPD in Financial Regulation (such as the FCA etc). It will
be particularly suitable to:
• Compliance professionals and consultants
• Boards, NEDs and Senior Managers
• Risk executives
• Directors
Training Method
The course is offered fully online using a self-paced approach. The learning
units consist of video presentations and reading material. Learners may start,
stop and resume their training at any time.
At the end of each session, participants take a Quiz to complete their learning
unit and earn a Certificate of Completion once all quizzes have been passed
successfully.
Accreditation and CPD Recognition
This programme has been developed by the London Governance and Compliance
Academy (LGCA), a UK-recognised training institution.
The syllabus is verified by external subject matter experts and can be
accredited by regulators and other bodies for 2 CPD Units that approve education
in financial regulation, such as the FCA and other financial regulators. The
course may be also approved for up to 2 CPD Units by institutions that approve
general financial training, such as the CISI.
Eligibility criteria and CPD Units are verified directly by your association or
other bodies in which you hold membership.
Registration and Access
To register to this course, click on the Get this course button to pay online
and receive your access instantly. If you are purchasing this course on behalf
of others, please be advised that you will need to create or use their personal
profile before finalising your payment.
If you wish to receive an invoice instead of paying online, please contact us at
info@lgca.uk. Access to the course is valid for 365 days.