Regulation of Platforms
Refreshed January 2024 | CPD time: 2 Hours 30 Minutes
A platform is software through which investors and traders can open, close and manage market positions. Trading platforms are frequently offered by brokers either for free or at a discount rate in exchange for maintaining a funded account and/or making a specified number of trades per month. This module provides an understanding of FCA and HMRC regulations and the impact that the UK leaving the European Union has had on the use of platforms.
1. Introduction
2. Regulatory Bodies, RDR and Wrap Platforms
3. FCA Regulations
4. Provision to Platforms
5. HMRC Regulations
6. HMRC Rules Relating to Pensions
7. European Union Initiatives
Module Test