Regulatory Environment - Part 10

Regulatory Environment - Part 10

Overview

This course focuses on the microprudential regulation and supervision of the UK financial services industry. We examine the two microprudential regulators in terms of who they manage, their statutory objectives and the means by which they meet those objectives.

Objective

On completion of this course, you will be able to:
- Recognize why the UK Government established both the Prudential Regulatory Authority (PRA) and the Financial Conduct Authority (FCA)
- Identify the role played by the PRA in the supervision and regulation of deposit-taking institutions in the UK
- Identify the role played by the FCA in the supervision and regulation of those financial institutions not regulated by the PRA and understand its role as a customer champion

Content

Topic 1: UK Financial Regulation
Topic 2: Prudential Regulation Authority (PRA)
Topic 3: Financial Conduct Authority (FCA)

Details

Code
TERCR18005601
Venue
ePlatform
Language
English
Level
Introductory
Hours
SFC:1.0, PWMA:1.0
Fees
All Member: HK$260
Staff of Corporate Member: HK$260
Non-Member: HK$370