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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.
This course may take up to 2 hours to be completed. However, actual study time differs as each learner uses their own training pace.
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
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 firstname.lastname@example.org. Access to the course is valid for 365 days.