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Overview
Financial services issues arise in many areas of legal practice, and solicitors must understand the regulatory boundaries that apply when dealing with investment‑related work.
With practical examples and a focus on risk‑aware practice, you’ll learn how to spot when a matter involves regulated activity, how to stay compliant and how to advise clients safely and confidently.
Learning outcomes
By the end of this Solicitors' and Financial Services course at BPP University you will be able to:
- Understand the key principles of investing and how they relate to regulated activities
- Identify the main categories of investments under FSMA
- Recognise when arranging or advising on investments may trigger the s.19 FSMA general prohibition
- Apply the exclusions available to legal practices and the SRA Financial Services (Scope) Rules
- Understand the SRA Financial Services (Conduct of Business) Rules and their practical implications
- Recognise and comply with restrictions on financial promotions
- Understand money laundering risks and obligations relevant to financial services work
- Interpret basic company accounts to support financial understanding in client work
Programme Structure
Topics include:
- Overview of FSMA and the financial services regulatory landscape
- Principles of investing and investment risk
- Regulated investments under FSMA
- Arranging and advising on investments; the s.19 general prohibition
- Legal‑practice exclusions and SRA Financial Services (Scope) Rules
- SRA Financial Services (Conduct of Business) Rules
- Financial promotions and compliance requirements
- AML considerations for financial services‑related work
- Interpreting accounts: key concepts for legal practitioners
- Practical examples and scenario‑based discussion
Key information
Duration
- Full-time
- 1 days
- Part-time
- 1 days
Start dates & application deadlines
- StartingApply anytime.
- StartingApply anytime.
Language
English
Delivered
On Campus, Online
Campus Location
- London, United Kingdom
Disciplines
Finance Legal Studies View 137 other Short Courses in Finance in United KingdomWhat students do after studying
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Academic requirements
We are not aware of any specific GRE, GMAT or GPA grading score requirements for this programme.
English requirements
We are not aware of any English requirements for this programme.
Other requirements
General requirements
Who is the course for?
- This course is ideal for SQE trainees, junior solicitors, paralegals and practitioners in any area where financial services issues may arise, including private client, corporate, commercial, real estate and litigation.
- It is also suitable for non‑lawyers working in compliance, risk, legal operations or professional support roles who need a clear understanding of FSMA boundaries, SRA rules and solicitor‑specific exemptions.
Tuition Fees
Tuition fees are shown in and the most likely applicable fee is shown based on your nationality.
-
International Applies to you
Applies to youNon-residents360 GBP / full≈ 360 GBP / full -
Domestic Applies to you
Applies to youCitizens or residents360 GBP / full≈ 360 GBP / full
Living costs
London
United Kingdom
1137 - 2157 GBP / month
The living costs include the total expenses per month, covering accommodation, public transportation, utilities (electricity, internet), books and groceries.
Funding
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