Courses Menu

Financial and Business Skills

3 days (18 hours including 90 minute examination)

Lecture based, with practical case studies and workshops

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

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

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

There is a 90 minute open book examination.

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

The Training Team

Phil Lyons

Module Leader,
Phil Lyons

Ed Davies

Andrew Dines

Janet Taylor

Contact Us

Book your course now

To find out more or to book a course

Contact Rachel Berry by either using the contact us form, emailing, or calling 01454 550066

Contact Us