Podcast Location:
Download it here [file size: 21.7 MB]
Categories:
Banking and Financial Services
CPD Points:
Up to 1 point. details »

Due to the difference in guidelines between the SRA and the Bar Standards Board, CPD points are awarded differently for Solicitors, Barristers and Legal Executives:

Regulated by the Solicitors Regulation Authority:
Listen and pass the quiz: Gain 1 CPD point (60 minutes)
Listen only, gain ½ a CPD point (30 minutes)

Regulated by the Bar Standards Board:
Listen and pass the quiz: Gain 1 accredited CPD point (60 minutes)

Regulated by ILEX:
Listen and pass the quiz: Gain 1 CPD point (60 minutes)
Listen only, gain ½ a CPD point (30 minutes)

Cost:
  • FREE
Length:
30 minutes of audio
(+ optional 5 minute online quiz)
Plays on Computer:
Yes Downloadable as MP3:    Yes
Contributor(s):
Course Aims:

This CPDcast aims to help practitioners who need to advise clients on two matters- the scope of regulation when offering shares in a company for sale to the general public and the scope of regulation when promoting financial services. The podcast provides a summary of these areas and some key advice for practitioners.

Outcomes:
After completing the course you will:
  • Understand which offerings qualify as transferable securities and how they are regulated;
  • Be familiar with the regulation rules within the FSMA and the approach of the FCA;
  • Appreciate the guidance found within PERG;
  • Be aware of the exemptions to rules of prohibition and appreciate key definitions;
  • Have knowledge of how to advise clients who are making, or engaging in, offerings and investments.
Level:
General Interest Difficulty: 2 of 5
Classification:
Legal Principles
Practical Guide
Sources and References:
Tags:

In this CPDcast Tim Green from Outer Temple Chambers focuses on two key issues, namely, the scope of regulation when offering shares in a company and the scope of regulation when promoting financial services.

Date Recorded: 18th November 2014

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