Essential Knowledge About Financial Services

Essential Knowledge About Financial Services

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Course Overview

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

What are the requirements?

  • • Watch 30 minute recorded webinar • This course provides 0.5 CPD point

Learning Outcomes

  • On completion of the course you will • Have a greater understanding of financial services and the legal profession. • Be familiar with what constitutes regulated activities and common exclusions • Have considered Part XX Exemption and the application of Part XX to solicitors • Be aware of the issues surrounding financial promotions and the exemptions used by solicitors

What is the target audience?

  • Suitable for trainee and newly qualified solicitors. This course may also be of interest to support staff.

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About Instructor - Tracey Calvert

Tracey is a lawyer and had many years experience of working for the Law Society and the SRA. She was a senior ethics adviser and, in her last role with the SRA, part of the ethics policy team which drafted the SRA Handbook. Tracey is now the director/owner of Oakalls Consultancy Limited and provides regulatory consultancy services. She has a varied portfolio of clients and interests and also writes regularly on regulatory topics. She has written 6 books (including “Ethics in law firms: a practical guide” and “Conflicts and Confidentiality in Law Firms” published by the Ark Group), is a contributor to Cordery on Legal Services, writes regular columns for the ILEX Journal and the Solicitors Journal and sits on the Editorial Board of the Law Society’s Legal Compliance Bulletin.

Course Curriculum

recorded webinars

  • Webinar
    00:26:19

Documentation

  • Slides
    20 Page

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