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84 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


15 Nov 2018 - Training & Workshops
This very practical 1 day course conducted by an expert with over 20 years of experience within the sector will provide a thorough overview of the CASS regulation, its scope and requirements and prepare participants to effectively comply with it. You will learn about the principles of clients' money and asset protection, how to segregate and hold funds and keep records. You will also learn about the reporting requirements and how to set up all the processes and operations in order to stay compliant.

CPD: Not Stated / Price: £895.00 / Location: London, UK


15 Nov 2018 09:30 - 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


16 Nov 2018 - Training & Workshops
Attending this one day course will give you an overview of what the regulator requires of senior managers and what this means to the firm as a whole. Learn about key considerations and actions, what needs to be done and the responsibilities to be adopted by those of significant influence within your firm.

CPD: Not Stated / Price: £895.00 / Location: London, UK


20 Nov 2018 - 21 Nov 2018 - Training & Workshops
If you want to keep up-to-date in the fast changing FinTech scenario you need to understand what it is all about. And if you are a non-IT professional you need this information presented in clear non-technical terms. This two day unique training course offers a comprehensive introduction to FinTech for Non-IT Professionals, what FinTech is all about and how it is changing financial, banking and commercial systems and the world.

CPD: Not Stated / Price: £2095.00 / 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 - 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 - Training & Workshops
This course gives deep dive insight into everything you need to know about Bitcoin and cryptocurrencies from trading platforms to wallets and exchanges, investment strategies and possible regulatory impact. Get an insider's view of Initial Coin Offerings and access to current, pre-ICO investments and a lot more.

CPD: Not Stated / Price: £950.00 / 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
This practical 1 day course provides a thorough examination of both regimes, presenting a comparative review and analysis of key differences and common areas.

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


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