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R01 - Financial Services, Regulation and Ethics

Before We Get Started

Introduction (2:09)
R01 Mindmaps

Chapter 1 -The UK Financial Services Industry

Financial Services and the Economy (2:10)
The UK Financial Services Structure (4:09)
International Markets Structure (1:36)
The EU Impact on UK Regulation (1:51)
The Current Regulatory Framework (0:46)
The Role of the Government (3:12)
Chapter 1 - Round Up (1:02)
Chapter 1 - Test Your Knowledge

Chapter 2 - Serving the Retail Customer

Budgeting, Managing Debt and Borrowing (3:20)
Mortgages and Loans (4:47)
Financial Protection (2:43)
Life Assurance Contracts (2:44)
Sickness and Health Insurance (4:54)
State Benefits (4:45)
Retirement Planning (7:49)
Saving and Investing (11:29)
Estate and Tax Planning (3:46)
Chapter 2- Round Up (0:48)
Chapter 2 - Test Your Knowledge

Chapter 3 - Laws and Legal Concepts Relevant to Financial Advice

Legal Persons (2:26)
Powers of Attorney (2:10)
Law of Contract and Capacity (2:00)
Ownership of Property (1:13)
Bankruptcy and Insolvency (1:55)
Wills and Intestacy (2:35)
Trusts (5:07)
Chapter 3 - Round Up (0:47)
Chapter 3 - Test Your Knowledge

Chapter 4 - The Regulation of Financial Services

The Structure of the UK Financial Services Regulatory System (3:26)
The Role of the European Union (5:36)
Other Regulators and Additional Oversight (4:46)
SMCR (3:24)
Chapter 4 - Round Up (0:58)
Chapter 4- Test Your Knowledge

Chapter 5 - Responsibilities and Approach to Regulation

UK Regulatory Landscape (7:31)
Regulatory Supervision (6:16)
Chapter 5 - Round Up (0:48)
Chapter 5 - Test Your Knowledge

Chapter 6 - The FCA Handbook

High Level Standards (4:34)
Prudential Standards (PRU) and Business Standards (8:25)
Regulatory processes and redress (1:52)
Consumer credit and rights legislation (2:45)
Chapter 6 - Round Up (0:35)
Chapter 6 - Test Your Knowledge

Chapter 7 - Core Regulatory Principles and Rules

Regulatory Authorisation (5:37)
Record-keeping and Training (3:12)
Money Laundering (2:44)
Data Protection (2:40)
Complaints, FOS, FSCS and Pensions Ombudsman (5:16)
Chapter 7 - Round Up (0:49)
Chapter 7 - Test Your Knowledge

Chapter 8 - The Regulatory Advice Framework

Sources of Information and the Fair Treatment of Customers (4:44)
New Consumer Duty (3:32)
Financial Advisers (2:39)
Communicating with Clients and Financial Promotions (5:00)
Client Relationships and Adviser Responsibilities (7:06)
Chapter 8 - Round Up (0:39)
Chapter 8 - Test Your Knowledge

Chapter 9 - Client Advising Skills

Communicating (2:18)
Assessment and Analysis (2:37)
Conclusions and Recommendations (2:14)
Chapter 9 - Round Up (0:42)
Chapter 9 - Test Your Knowledge

Chapter 10 - The FCA’s Use of Principles and Outcomes-based Regulation

Principles for Businesses, Corporate Culture and Leadership (2:56)
Main Regulatory Obligations for Individuals (2:21)
Chapter 10 - Round Up (0:45)
Chapter 10 - Test Your Knowledge

Chapter 11 - Ethics and Professional Standards

Ethics in Financial Services (6:14)
Evaluation and Outcomes (1:47)
Chapter 11 - Round Up (0:54)
Chapter 11- Test Your Knowledge

Future Development

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