Prudential and Market Conduct Regulation

This course introduces learners to the core principles of prudential and market conduct regulation within the financial sector. It explains how regulation supports the safety and soundness of financial institutions while also promoting fair customer outcomes, responsible business practices, and confidence in financial markets.

The course is designed for financial sector employees, managers, compliance officers, risk professionals, governance teams, product teams, customer-facing staff, and operational personnel who need to understand how regulatory obligations affect everyday decisions. It is also suitable for senior management, board members, and control functions responsible for oversight, accountability, customer outcomes, reporting, and regulatory risk management.

Across five modules, learners explore the purpose of regulation, prudential soundness, market conduct expectations, governance, compliance risk management, regulatory reporting, assurance, issue response, and regulatory judgement. The course also shows how prudential and conduct risks are connected in practice, and how weak controls, poor decisions, ineffective oversight, or commercial pressure can create both financial and customer harm.

By the end of the course, learners should be able to recognise key prudential and market conduct risks, understand how they arise in daily operations, and apply practical judgement when supporting sound, fair, transparent, and accountable financial services.