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207 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


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


22 Nov 2018 09:30 - 16:30 - Training & Workshops
This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

CPD: Not Stated / Price: £649.00 / Location: London, UK


22 Nov 2018 - 23 Nov 2018 - Training & Workshops
This practical 2 day course has been tailored for banking professionals who have some experience in domestic payments and want to expand their knowledge of international payments. You will explore the key principles, concepts, practices and current developments in the international payments.

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


26 Nov 2018 - 27 Nov 2018 - Training & Workshops
You will have a chance to gain skills necessary to facilitate day-to-day transactions and communication processes between all parties involved as well as all stages about clearing and settlement process, the role of exchanges and clearing houses, functioning of the settlements department, role of payments in the settlements. Day two focuses on the role and functioning of global custody, services provided, derivatives settlements, corporate actions and risk management. You will also learn about the latest sector's trends and changes.

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


27 Nov 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


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 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


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