J07 – Supervision in a regulated environment

What does the unit cover?
This unit provides a more detailed understanding of the role of the supervisor in the UK financial services regulated environment as well as key legal aspects relating to employment and supervision.

The main syllabus elements are:

Candidates should be able to demonstrate an understanding of:

• The supervisor’s role in a regulated organisation
• Recruitment, training, attaining competence, maintaining competence and supervising competence
• Management information and performance standards
• Financial Services Authority rules and guidelines in respect of competence and supervision
• The legal and regulatory aspects of employment and supervision

How is it examined?
2 hours, 15 short answer written questions. Pass mark is around 55%

For information on taking this course, please complete the form below or contact us using the details provided.

Contacting Us:
Tel: +44 (0) 1786 449329
Fax: +44 (0) 5603 113491
Email: info@fstcollege.com