The Approved Persons regulation protect consumers and the UK financial system by making sure that individuals who perform key functions in the financial services industry are of high calibre.
An approved person is an individual who has been approved by the FCA to perform one or more 'controlled functions' on behalf of an authorised business. A controlled function refers to certain roles which have a particular significance. This Approved Persons compliance training will help your business to comply with the FCA and PRA's standards of personal conduct and accountability and learn the principles and ethical expectations of approved persons as defined by the law.
Key Learning Points
This course will help you to:
- Know and meet regulatory requirements
- Understand how to apply those regulatory requirements your role
- Define ‘controlled functions’
This course is for employees whose job roles have a particular regulatory
significance. This could be the Director of a regulated firm or an employee who oversees systems and controls or is responsible for compliance with the
Compliance eLearning that helps you...
Increase engagement with beautiful, dynamic courses
Improve communication between leadership and staff
Equip employees to do their jobs well & reach their goals
Detect & prevent violations of the law
Protect your company and its assets from illegal activity
Avoid scenarios such as loss of authorisation and penalties