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Introduction to Financial Regulation training

Six microlessons on the UK financial regulatory framework: the FCA and PRA, the Principles for Businesses, client categories, the Consumer Duty and SM&CR, with situational tests and a certificate of completion.

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Introduction to Financial Regulation (UK) course preview
6Short, TikTok-style microlessonsIn the browser or the iOS and Android apps

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  • 2Assessments
  • 6Microlessons
  • IncludedCertificate of completion
About this course

What the Introduction to Financial Regulation course covers

This course introduces the UK financial regulatory framework in six microlessons. It covers the roles of the FCA and PRA, the regulatory cycle, the FCA Principles for Businesses and PRA Fundamental Rules, client categorization, the Consumer Duty and the Senior Managers and Certification Regime, giving new joiners a solid foundation.

Learning outcomes

What your people will be able to do

  • Explain the roles of the FCA and PRA in UK financial regulation
  • Identify the stages of the UK regulatory cycle and their impact
  • Describe the FCA Principles for Businesses and PRA Fundamental Rules
  • Recognize why client categorization matters and what it requires
  • Explain the Consumer Duty and its focus on customer outcomes
  • Describe SM&CR and the accountability of financial services professionals
Course contents

6 microlessons

Each microlesson is a short, TikTok-style video lesson, with knowledge checks along the way.

1UK Financial Regulators
2Understanding the UK Regulatory Cycle
3FCA’s Principles for Businesses & PRA’s Fundamental Rules
4FCA Client Categories
5The New Consumer Duty: Putting Customers First
6SM&CR - Accountability in Action

  1. UK Financial Regulators: The roles of the FCA and the PRA.
  2. Understanding the UK Regulatory Cycle: The stages of the regulatory cycle and their impact.
  3. FCA’s Principles for Businesses & PRA’s Fundamental Rules: The high-level rules every firm must follow.
  4. FCA Client Categories: How firms categorize clients and why it matters.
  5. The New Consumer Duty: Putting Customers First: The Consumer Duty and its focus on good customer outcomes.
  6. SM&CR - Accountability in Action: How SM&CR makes individuals accountable.
A 5Mins certificate of completion for Introduction to Financial Regulation (UK), lying on a desk next to a laptop
Certificate

A certificate for every learner who completes it

Learners finish every microlesson and complete the assessments. 5Mins then issues a certificate of completion for Introduction to Financial Regulation (UK).

  • Certificates and e-signatures stored against each learner
  • Audit-ready records, ready whenever an auditor asks
  • Completion shows on the Compliance Dashboard in real time
Audience and regulation

Who it's for and the law it covers

Who it's for

  • New joiners in UK banks, insurers, asset managers, payment firms and fintechs
  • Support functions such as HR, finance, marketing and IT who work in a regulated firm
  • Anyone who needs a foundation before more specialist FCA courses

Laws covered

  • Financial Services and Markets Act 2000. The framework for UK financial regulation by the FCA and PRA.
  • FCA Principles for Businesses and PRA Fundamental Rules. The high-level standards firms must meet.
  • FCA Consumer Duty (PRIN 2A). Requires firms to deliver good outcomes for retail customers.
  • Senior Managers and Certification Regime (SM&CR). Makes individuals accountable for their conduct and responsibilities.
How it runs in 5Mins

Assign it once, then let 5Mins do the chasing

Every course in the 5Mins library runs on the same zero-admin engine.

  • EnrollAuto-enroll

    Enroll people automatically from your HR system, with 100+ HRIS platforms supported.

  • RemindReminders

    Nudges by email, Slack, Microsoft Teams and push until the course is done.

  • RepeatRecurrence

    Set the course to repeat, for example every 12 months, and 5Mins re-enrolls people for you.

  • CertifyCertificates

    Certificates and e-signatures are issued and stored for every completion.

  • ProveAudit-ready records

    See who is complete, at risk or overdue on the Compliance Dashboard, and prove it any time.

Customer stories

Compliance teams that swapped chasing for results

Compliance, HR and L&D leaders on what changed when they moved their training to 5Mins. Pick a team to see what changed.

ComplianceCompliance Training Insurance, 205 colleagues 100%

compliance completion and pass rate since go-live

  • ~1 day saved on each compliance course (HR estimate)
  • Automated reminders and reporting

Since go-live, our compliance completion and pass rates are 100%, and it's the quickest we've ever got there. Automated reminders and reporting save us about a day per course.

Laura ChappellLaura ChappellHR Director, Collingwood
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ComplianceCompliance Training Insurance and emergency accommodation 87%

less session time, from 2.5-3 hour sessions to modules of 25 minutes at most

  • 12 monthly sessions a year, up from 3-4
  • 95% content creation time saved

Our compliance sessions used to be two and a half to three hours in a room, and we could fit in three or four a year. Now we cover one topic a month, and I can see exactly what people are retaining.

Lucy WybornLucy WybornDirector of Learning and Development, ICAB
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ComplianceCompliance Training Legal services 80%

completion on mandatory training, up from 20%

  • Mobile microlessons finished between calls
  • Manager view of each team's progress

We were sitting at 20% completion on our mandatory training. We're now at 80%. People finish short lessons between calls, on mobile, and managers can see where their teams are, so chasing completion is no longer a one-person job.

Jamie WaltonJamie WaltonGroup Learning and Development Officer, Winn Solicitors
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ComplianceCompliance Training Fintech and digital banking On demand

training log showing who did what, when, and the pass rate

  • Any device phone or laptop, at their own pace
  • Rolling refreshers through the year

When I engage with the FCA, I can show that every team has had training tailored to their role, that it's up to date, and that it runs throughout the year, with a full log of who's done what.

Abdul GofurAbdul GofurHead of Compliance & Anti-Financial Crime, nsave
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★ Free sample lesson

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Free course catalogues

Take the catalogues with you

Free PDF catalogues to share with your compliance lead, your managers or your board.

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Financial services

Global Financial Compliance Catalogue

Specialized compliance training for financial services teams working across borders, covering AML, risk management, customer due diligence and international regulations.

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UK compliance

UK Compliance Catalogue

Built for UK organizations, covering GDPR, RIDDOR, Martyn's Law, employment law and the regulations your team needs day to day.

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Compliance

Global Compliance Catalogue

Stay compliant across every market you operate in, with regulatory training covering GDPR, data protection, workplace safety and more.

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Your questions answered

Questions about Introduction to Financial Regulation training

How long is the Introduction to Financial Regulation course?

It's made up of 6 microlessons, each under 5 minutes. Learners can finish it in one sitting or spread it over a few days, and 5Mins sends reminders until it is done.

Is there a certificate?

Yes. Learners get a certificate of completion once they finish every microlesson and complete both situational tests. The record is stored in 5Mins for audits.

Who should take this course?

New joiners in UK financial services firms, and staff in support functions who need to understand how regulation works. It's a good first course before FCA Code of Conduct (UK) or Conduct Rules & SM&CR.

Does it cover the Consumer Duty?

Yes. One microlesson introduces the Consumer Duty and its focus on good outcomes for retail customers.

Is there an EU or global version?

Yes. Introduction to Financial Services Regulation is also available for the EU and as a global course.

Can I try the course first?

Yes. Request a free sample lesson and book a short demo with our team. After your demo, we'll share sample lessons with you so you can see the format for yourself.

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