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233 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 Dec 2017 09:30 - 16:30 - Training & Workshops
The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services Industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules.

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


23 Oct 2018 09:30 - 12:30 - Training & Workshops
A robust and well defined governance structure underpins all effective governance frameworks and is key to compliance with the FCA’s requirements in its Systems and Controls handbook (SYSC). This course will assist delegates in understanding those elements that go to make corporate governance an effective tool within your organisation.

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


25 Oct 2018 09:30 - 16:30 - Training & Workshops
The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services Industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules.

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


26 Oct 2018 12:00 - 13:00 - Webinar
Join us for the final live event of Charity Fraud Awareness Week 2018 and put forward your questions to our live panel of charity fraud experts.

CPD: No / Price: £0.00 / Location: Global


30 Oct 2018 09:30 - 12:30 - Training & Workshops
This briefing seeks to focus on the key role of the INEDs, what regulators expect of them and will point to the critical on-going relationship between the Board/Executive Body, Senior Management and all in the firm, whether they are from the EU or elsewhere, i.e. “the tone from the top”.

CPD: 7 Points / Price: £349.00 / Location: London, UK


30 Oct 2018 13:30 - 16:30 - Training & Workshops
From 25th May 2018 the General Data Protection Regulation (GDPR) replaces the UK Data Protection Act 1998. Firms will have been preparing for this for some time, considering how the changes will affect them. The objective of this course is to “square the circle” by explaining to employees at all levels the practical impact on them, their employer and the potential for higher penalties under the GDPR for failure to comply.

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


01 Nov 2018 09:30 - 12:30 - Training & Workshops
This course will provide you with an understanding of what the MAR means to your firm and your employees. The course focuses on the rules and the practical application of systems and controls to identify and reduce the risk of market abuse.

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


01 Nov 2018 13:30 - 16:30 - Training & Workshops
The course is aimed at assisting firms to fully understand the fraud risk, the practicalities involved in mitigating this risk and providing advice on what to do if it happens.

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


02 Nov 2018 09:00 - 16:30 - Conferences & Seminars
Our annual internal audit conference will provide a timely update on the current fraud threats facing organisations and explain how proactive internal audit tools and techniques can help prevent and detect them.

CPD: No / Price: £360.00 / Location: London, UK


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