Addleshaw Goddard’s Financial Regulation Group runs an annual training programme on key regulatory aspects in financial services. Although ideal for new joiners, the webinars are also a good opportunity for others in legal, compliance and business functions to refresh and update their regulatory knowledge and practice.

This year the programme will run over 10 monthly lunchtime 90-minute sessions and will focus on the regulation of products and services that we advise on in each sector together with forthcoming regulatory developments.

Registration details will be sent out prior to each session, so if you are registered to attend we ask that you make every effort to participate in each session. Once you register we will send you the joining instructions.

Please feel free to share this invite with anyone who you think would benefit from this course.

Session 1 - Overview of the UK Regulatory Framework including the financial promotions regime

Regulatory Perimeter, PRA and FCA regulatory framework and the financial promotions regime.

Session 2 - Financial Crime and Investigations

Anti money laundering and counter terrorist financing regimes, Sanctions and Bribery Act, FCA’s financial crime regime.

Session 3 - Regulatory Risk and Compliance 

Why regulatory risk and compliance is important, risk management, governance and compliance.

Session 4 -  Prudential Regulation

Regulatory Capital, Financial and Operational Resilience and Resolvability.

Session 5 - Consumer Credit Regime

The scope of the UK Consumer Credit regime, Asset Finance, pre and post contractual information and notification requirements and form, content and execution of agreements.

Session 6  - Regulated Mortgages Regime

Overview of the regulation of residential mortgages under FSMA and MCOB, conduct requirements for UK mortgage contracts, including consumer buy-to-let, pre- and post-contractual considerations and issues.

Session 7 - Payments and Payment Services

Payment services overview, conduct requirements, strong customer authentication, open banking and open finance.

Session 8 - Innovation in Money

Evolution of money, e-money, CBDC, Tokenised Deposits, in game virtual currencies and the payments use case for stablecoin.

Session 9 - Insurance Distribution

Insurance distribution activities, Insurance: Conduct of Business, Product Oversight and Governance, Consumer Duty, Third Party Processors, Outsourcing V Distribution and Distribution Agreements.

Session 10 - Investment Business and Digital Assets

Specified Investments, Specified Activities in relation to Investments, MiFID business, Conduct of Business and the regulation of Digital Assets (investment side).