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24 Event(s) Ordered by

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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


14 Dec 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


19 Dec 2018 09:30 - 12:30 - Training & Workshops
Traditionally, the training of an organisation’s people has fallen to the Human Resources team creating a need for cross-functional cooperation between HR and Compliance. This course is designed to help staff from both functions understand the regulatory foundations behind not only the learning framework, but also the ongoing supervision model.

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


Dates available on application - Bespoke Course
A modular series of updates on the details of and likely impact of Pension Freedom 2015

CPD: Not Stated / Price: £0.00 / Location: London, UK


Dates available on application - Training & Workshops
This focused one day course is designed to equip financial services professionals with an understanding of the essential basic principles and approaches to operational risk management and how they can be applied in the day to day business environment.

CPD: 6 Hours / Price: Price available upon application / Location: London, UK


Dates available on application - Training & Workshops
Putting in place an effective operational risk framework, and getting buy-in for it throughout the business, is critical to a financial services organisation’s success and survival and to its relations with regulators. But operational risk is different in its nature and scope from other types of risk and, with that in mind, this focused two day course will examine the operational risk toolkit and offer a practical approach to implementing a successful operational risk management programme.

CPD: 12 Hours / Price: £0.00 / Location: London, UK


Dates available on application - Training & Workshops
The introduction of the new Approved Person categories CF10 (Compliance) and CF31 (Mortgage Advisers) has presented mortgage firms with a number of compliance, governance and administrative challenges.

CPD: 6 Hours / Price: Price available upon application / Location: London, UK


Dates available on application - Training & Workshops
The introduction of the new Approved Person categories CF10 (Compliance) and CF31 (Mortgage Advisers) has presented mortgage firms with a number of compliance, governance and administrative challenges.

CPD: 6 Hours / Price: Price available upon application / Location: London, UK


Dates available on application - Training & Workshops
This practical course is designed for anyone who manages people and people risk, including Line Management, HR, Compliance and Risk specialists in financial services organisations.

CPD: 4.5 Hours / Price: Price available upon application / Location: London, UK


Dates available on application - Training & Workshops
This timely briefing has been designed specifically for executive and non-executive directors, Significant Influence Function holders and senior Compliance and Business managers, to keep up to date with the changing shape of regulation, assess the potential impacts on business operations and help them consider what practical steps they can take to manage these changes.

CPD: 2 Hours / Price: Price available upon application / Location: London, UK


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