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130 Event(s) Ordered by

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05 Feb 2018 09:30 - 17 Jan 2018 16:30 - Training & Workshops
The Regulator’s objectives include ensuring that firms operate in their client’s/customer’s best interest, including treating them fairly and communication with their clients in a clear, fair and not misleading way. Therefore, if you advertise your products and services in any way your firm is likely to be on the Regulator radar. This course is designed to explain, in a clear and practical way, what the rules are and what needs to be done to achieve and maintain compliance with them.

CPD: 6 Hours / Price: £349.00 / Location: London, UK


23 Jan 2018 09:30 - 12:30 - Training & Workshops
Completion of the CMP is a yardstick that will be used by senior management and the regulator to measure the effectiveness of the compliance function. It is therefore imperative that Compliance Officers, and indeed senior managers, understand what best practice is for the development of a CMP. While the compliance function and the CMP may differ greatly from one organisation to another, this course will go through the steps that should be followed to produce a risk based CMP that will be acceptable to senior management, the Board and the regulator.

CPD: 3 Points / Price: £349.00 / Location: London, UK


23 Jan 2018 13:30 - 16:30 - Training & Workshops
One of the main responsibilities of the Compliance Officer is to provide management with an assessment of the firm’s systems and controls that have been put in place to achieve compliance with the applicable rules.

CPD: 3 Points / Price: £349.00 / Location: London, UK


25 Jan 2018 09:30 - 11:30 - Training & Workshops
The ever increasing focus by the Regulators on the accountability of Senior Management, particularly when things go wrong, emphasises the importance of individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Management to have a full understanding of what they need to do to achieve compliance with two specific parts of the Rules:

CPD: 2 Points / Price: £299.00 / Location: London, UK


25 Jan 2018 13:30 - 15:30 - Training & Workshops
Recent announcements about extending the scope of the Senior Management and Certification Regimes beyond banking will result in asset managers and other firms needing to become familiar with the new regulatory requirements. This concise course gives an overview of the regimes and explores the issues which firms will need to address and resolve if they are to meet the new standards effectively.

CPD: 2 Points / Price: £299.00 / Location: London, UK


19 Jan 2018 09:30 - 30 Jan 2018 16:30 - Training & Workshops
The course includes examples of the offences that could have an impact on your business and individuals, including the potential for personal fines, prohibition or criminal proceedings.

CPD: 6 Points / Price: £649.00 / Location: London, UK


31 Jan 2018 09:30 - 17:00 - Training & Workshops
Join us for this interactive one-day course. You’ll learn how to truly place your customer at the heart of your product policies and develop the framework that allows you to prove to the FCA you did so.

CPD: 6 Hours / Price: Price available upon application / Location: London, UK


01 Feb 2018 09:30 - 11:30 - Training & Workshops
The ever increasing focus by the Regulators on capital adequacy and the accountability of Senior Management, particularly when things go wrong, emphasises the importance of individuals in senior Management positions having a clear understanding.

CPD: 2 Points / Price: £299.00 / Location: London, UK


02 Feb 2018 09:30 - 16:30 - Training & Workshops
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.

CPD: 7 Points / Price: £649.00 / Location: London, UK


07 Feb 2018 09:30 - 13:30 - Training & Workshops
This course is specifically designed to assist Senior Management in meeting their statutory and regulatory obligations. Any failure to meet these obligations is a breach of the MLR and of the FCA/PRA Rules in “Senior Management Arrangements, Systems and Control (SYSC).

CPD: 3 Hours / Price: £299.00 / Location: London, UK


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