18 – Regulating firms and individuals

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CeMAP1 18 – Regulating firms and individuals

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Course Content

1 - Introducing the financial services industry

2 - Economic policy and financial regulation

3 - UK Taxation 1

4 - UK Taxation 2

5 - State benefits and HMRC tax credits

6 - Direct investments: cash and fixed‐interest securities

7 - Other direct investments

8 - Collective investments

9 - Tax wrappers

10 - Pension products

11 - Life assurance

12 - Health and general insurance

13 - Secured and unsecured lending

14 - Understanding and satisfying customer needs

15 - The main advice areas

16 - Key legal concepts

17 - The FCA’s aims and activities

18 - Regulating firms and individuals

19 - Prudential supervision

20 - Conduct of business requirements 1

21 - Conduct of business requirements 2

22 - Consumer credit

23 - Anti‐money‐laundering

24 - Other regulation affecting the advice process

25 - Consumer rights, complaints and compensation

Resources for this course