ObjectivesThe aim of the examination is to ensure candidates have an understanding of the regulations and legislation that underpin the financial markets and the conduct of investment business. On completion of the unit, candidates will be familiar with the regulatory environment in which the UK securities industry operates, know the relevance of the Financial Services and Markets Act 2000 and associated legislation and regulations; understand FSA’s Conduct of Business Rules and know the complaints and redress procedures.
Entry requirementsEntry requirements There are no formal entry requirements for the Introduction to Investment qualification. Experience in the industry will help candidates relate what they are learning to the job they are doing but it is not a requirement of taking the qualification. Entry is subject to a formal interview.
Academic titleFSA Financial Regulation
Course descriptionCourse content
The course will cover:
* The Regulatory Environment
* The Financial Services and Markets Act 2000
* Associated Legislation and Regulation
* European Union Directives
* The FSA Conduct of Business Sourcebook / Client Assets Sourcebook
* Complaints and Redress
Teaching and assessment
Students sit the one hour exam via Computer based testing at the College.
Progression
This is the second of three modules making up the full Investment Award Qualification.
