2025 Financial Services Regulation Programme

Description

The 2025 Financial Services Regulation Programme provides an accessible overview of financial regulation designed for staff in financial services firms. Based on a successful certificate level qualification for regulators, covering everything from the principles of financial regulation to enforcement and financial crime.

Whatever your current role, this programme will provide an excellent foundation from which to develop a better level of communication and understanding with regulatory bodies.

This programme will comprise 6 x 1-hour webinars of 60 minutes, inclusive of Q&A, delivered by Darren Boschat.

 

Suitable For

This programme is suitable for all financial services professionals.

 

Agenda

Principles of Financial Regulation

23 May 2025 | 1 CPD Hours

  • Introduction to financial regulation

  • Justifications for financial regulation

  • Aims and objectives of financial regulation

  • Types of financial regulation

 


Structure of Financial Regulation

13 June 2025 | 1 CPD Hours 

  • Overview of the regulatory landscape

  • Roles and responsibilities of different regulatory bodies

  • Challenges of cross-border supervision

  • International cooperation and coordination

 


Authorisation and the Perimeter

27 June 2025 | 1 CPD Hours

  • Definition of the regulatory perimeter

  • Authorisation process for regulated firms

  • Use of exemptions and other mechanisms

  • Regulating innovation

 


Supervision and Conduct Risk

12 September 2025 | 1 CPD Hours

  • Overview of the role of supervision

  • Supervisory tools and techniques

  • Overview of regulatory requirements

  • Conduct risk and culture in regulated firms

 


Enforcement

19 September 2025 | 1 CPD Hours

  • Overview of the role of enforcement

  • Types of enforcement actions

  • Powers and sanctions of regulatory bodies

  • The enforcement process

 


Financial Crime Regulation

03 October 2025 | 1 CPD Hours

  • Overview of financial crime regulation

  • Types of financial crime

  • International framework for financial crime prevention

  • The Risk-based approach

 


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