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217 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


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 - Training & Workshops
This 1 day course is designed for delegates who are either new to the business of bond repurchase agreements (repos) or want to refresh their knowledge. You will learn how repos are priced, settled and why they are transacted by different participants in the market, including pension funds, hedge funds, market makers and derivatives users. You will also learn about bonds and key money market operations.

CPD: Not Stated / Price: £950.00 / 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
The Course Leader has been working in the derivatives industry for 28 years and regularly teaches on behalf of the world’s leading clearing houses and exchange. These institutions are vital to managing counterparty risk.

CPD: Not Stated / Price: £950.00 / 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 - Summit
The Cryptocurrency Task Force, which was set up by the Chancellor in April, will deliver its Report in the Autumn. The Task Force is led by HM Treasury, the FCA and the Bank of England. It’s deliberations will result in proposals as to how the UK should regulate this dynamic but highly controversial new medium of exchange. This conference aims to give a forum for discussion of the report.

CPD: Not Stated / Price: £595.00 / 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


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