Regulation Case Studies

Module Released October 2024 | CPD time: 1 Hour

This module brings financial services regulation to life through a series of ethical dilemmas. Each scenario is based on a real-life regulatory case study or issue. The module focuses on principles rather than rules, and the examples will be relevant regardless of your jurisdiction, although the UK regulatory and legal regime is used as the benchmark. The CISI Code of Conduct is highlighted as the primary reference point for tackling ethical and regulatory dilemmas.