Essential Knowledge About Financial Services
This course offers a practical discussion of financial services in the legal sector and will consider the requirements under the SRA Handbook, Scope Rules and SRA Financial Services (Conduct of Business) Rules 2001.
Compliance specialist Tracey Calvert will encourage viewers to consider their own position and that of their firm by presenting practical scenarios relating to regulated activities. Hypothetical questions such as ‘what is achieved by Financial Services Legislation?’ will also be posed to encourage viewers to engage with the topic in a practical way.
The issues, exclusions and exemptions present by, and which apply to, financial services will also be discussed.
· Common Exclusions
· Part XX Exemption
· Application of Part XX to Solicitors
· Financial Promotions – The Issues, exemptions used by solicitors
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