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This module provides an introduction to the legal and regulatory requirements relating to whistleblowing in the UK financial services industry. In addition to the key requirements of the Public Interest Disclosure Act of 1998, the module covers the rules laid down by the financial services regulators in the UK and the practical steps that would need to be taken in a whistleblowing situation. It also outlines the general importance of ‘speaking out’ and distinguishes whistleblowing events from grievances and complaints.
Training Course Content
Topics covered include:
- What is (and is not) considered to be whistleblowing
- Examples of whistleblowing events
- The legal framework in the UK provided by the Public Interest Disclosure Act of 1998
- The expectations of the FCA and PRA
- Whistleblowing versus grievances and complaints
- The appropriate actions to take in a whistleblowing situation
CCL Academy - Governance, Risk & Compliance Training for the Financial Services Industry
CCL Academy is a specialist GRC training company and have been training financial services firms on their regulatory compliance obligations for 30 years. Our extensive team of highly experienced Compliance and Financial Crime Compliance (FCC) professionals have decades of experience...
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