Learning paths
- Lessons
- 18
- Topics
- 6
Free, no account neededA tour of Unit 16 steps
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1 lesson
Financial markets and institutions
2 lessons
Ethics and investment professionalism
1 lesson
The regulation of financial markets and institutions
7 lessons
- Who regulates UK financial services
- The FCA's Principles, SM&CR and the markets it oversees
- Client categorisation and financial promotions
- Suitability, appropriateness, best execution and research
- Product governance, disclosure and reporting to clients
- Client assets, complaints and compensation
- Money laundering, insider dealing and market abuse
Legal concepts
1 lesson
Client advice
2 lessons
Taxation in the UK
3 lessons
Test day
1 lesson