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Course Background
It is essential that everyone in a wholesale financial services firm has sufficient knowledge and understanding of the regulatory obligations which arise in the context of the firm’s activities. To have limited, or no knowledge or understanding, could have serious consequences. Senior Managers also need to understand their compliance responsibilities in order that a suitable compliance infrastructure and culture is installed within the firm.
Course Overview:
Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.
This course is designed to assist Senior Management to embed a compliance ethos in the individual and a strong compliance culture throughout the firm.
Course Objectives:
- A sound knowledge of the UK Regulatory Environment
- An understanding of the reason for policies and procedures
- The ability to evidence a risk based approach
- An understating of the obligations on firms to develop a strong compliance culture
- Knowledge of what can happen if you do not “do the right thing”
Key Topic:
- The UK Regulatory Environment
- High level business standards
- Personal obligations
- Systems and Control
- An introduction to the Conduct of Business Rules
- Financial Crime Prevention
- Examples of Enforcement action on firms and individuals
Course aimed for: any individuals who are working or are seeking to work in a regulated environment.
Duration: One day
Location: Cordium offices
Cost: £649 + VAT per delegate
Maximum numbers: 15
This course can also be delivered as an onsite course or as an instructor lead course at a firm’s office.
If you would like to discuss your training requirements in more detail, please contact Graham Dix on 020 3141 9546 or your usual Cordium consultant.
