This accredited monthly e-journal offers you expert articles, covering knowledge and skills topics, plus technical and regulatory updates and access to 1 hour of structured CPD throughout the year. Each month we will feature the new months edition so you can rely on Advice Matters as a core element in your CPD.
Learning Outcomes
- Understand the implications of the fast approaching deadline date for implementing the extended SM&CR regime for FCA solo regulated firms
- Be aware of the different categories that could be applicable to your firm
- Discuss different questions to highlight where your firm is in their SM&CR implementation plan
- Clarify how bonds, equities, foreign exchange and derivatives work
- Confirm your understanding of what is required for your firm to implement the SM&CR requirements compliantly
- State the difference between bid and offer spread
- Understand the importance of the test for liquidity
- Be aware of how a firm/individual could commit market abuse
- Establish the different between FinTech and RegTech
- Consider how AI supports the financial services industry and why it is necessary
- Verify the part that compliance should play
Summary of the session
60 minutes of structured CPD
Assessment
Pass = 17 out of 22