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103 Event(s) Ordered by

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23 Nov 2016 09:30 - 12:30 - Training & Workshops
The FCA continues to be concerned about a firm’s ability to demonstrate it has sufficient resources, expertise and procedures in place to avoid client money/ custody disasters and meet the requirements of the CASS Rules. .

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


20 Nov 2018 09:30 - 12:30 - Training & Workshops
This course is specifically designed to assist Senior Management in meeting their obligations under Regulation 24 of the Money Laundering Regulations 2017 (MLR), and includes examples of the offences that could have an impact on Senior Management.

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


20 Nov 2018 13:30 - 16:30 - Training & Workshops
Under Regulation 24 of the Money Laundering Regulations 2017 (MLR) Senior Management must ensure that immediately on joining the firm employees at all levels of seniority receive training in AML. In addition refresher training must also be provided at a frequency determined by the firm’s AML risk assessment.

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


21 Nov 2018 09:00 - 16:00 - Training & Workshops
This is a very interactive one day course, designed to provide practical guidance to individuals involved in selling investment products to consumers.

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


23 Nov 2018 13:30 - 16:30 - Training & Workshops
Since the financial crash and, more specifically, the demise of Lehman Bros., the FCA has become focused on firms’ ability to demonstrate they have sufficient resources, expertise and procedures in place to avoid client money/custody disasters.

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


29 Nov 2018 10:30 - 14:30 - Conferences & Seminars
This event will revisit some of the key regulatory concepts, including the definition of complaints, materiality and root cause analysis, as well as analyse new trends by exploring the role of technology and social media, and showcase some of the innovative approaches taken by firms, with the ultimate aim of turning complainants into net promoters.

CPD: 4 Hours / Price: Price available upon application / Location: London, UK


29 Nov 2018 - 30 Nov 2018 - Training & Workshops
Conducted by an expert with over 18 years of practical experience gained in the City and in major organisations worldwide, this intensive training course explores the best current practices and standards in operational risk management.

CPD: Not Stated / Price: £2095.00 / Location: London, UK


30 Nov 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


03 Dec 2018 - Training & Workshops
During this intensive 1 day course we will illustrate this real and significant threat to our industry and show you how to take a proactive approach to financial crime, enhance the policies, processes and procedures you currently have in place and ensure that everyone in your organisation is ready to protect your firm and the market place.

CPD: Not Stated / Price: £950.00 / Location: London, UK


04 Dec 2018 - Training & Workshops
This intensive one-day course conducted by a City expert provides a deep dive look at MiFID and the key areas requiring change and consideration for firms as a result of MiFIR and MiFID II. Participants will be equipped to understand Market Structures, Investor Protection, Conduct of Business, Transaction Reporting, Systems Controls and Business Principles, Product Changes and Exchanges implemented under: MiFID, MiFID II/MiFIR.

CPD: Not Stated / Price: £950.00 / Location: London, UK


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