PSC CORE MODULE
Financial And Business Skills

Duration:
3 days (18 hours including 90 minute examination)

Format:  
Lecture based, with practical case studies and workshops

Trainee no:
40 maximum, to comply with the requirements of the Solicitors’ Regulation Authority (SRA)

Objectives:
The objectives of this course are to:

  • Examine the regulation of financial services under the regime established by the Financial Services and Markets Act 2000 (As amended by the Financial Services Act 2012)
  • Consider the regulatory rules applicable to solicitors
  • Introduce trainees to the main investment products available in the financial services market

Topics:
The course covers all topics required by the SRA, specifically:

  • Introduction to the financial services industry, the main players and the position of solicitors
  • The regulatory environment in the UK
  • Regulated Activities
  • Exempt Regulated Activities and the Solicitors’ Financial Services (Scope) Rules
  • Solicitors’ Financial Services (Conduct of Business) Rules
  • Relevant SRA Code of Conduct 2011 Rules
  • Money laundering, mortgage fraud and financial promotions
  • Introduction to the principles of investment management
  • Key features of the main investment products
  • Accounting and financial information

Examination:
There is a 90 minute open book examination.

Outcomes:
The course meets the objectives prescribed by the SRA.

The success measures for the course are that trainees:

  • Improve their understanding of financial services products and the market in the UK which provides those products
  • Understand the regulation of solicitors and how to undertake exempt regulated activities

Training Team

Phil Lyons

Module Leader,
Phil Lyons

Trainer
Ed Davies

Trainer
Rachael Davis-Stollar

Trainer
Andrew Dines

Trainer
Robert Mowbray

Trainer
Janet Taylor

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Fresh Development Group Ltd, Aztec Centre, Aztec West, Almondsbury, Bristol, BS32 4TD
t. 01454 550066, e. info@fdg.uk.com, w. www.freshpd.com © Fresh Professional Development Ltd. 2017

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