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65 Event(s) Ordered by

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29 Jun 2017 14:00 - 28 Jun 2017 17:00 - Training & Workshops
This course is designed to provide succinct guidance for MLRO in the preparation of the report.

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


30 Jun 2017 09:30 - 12:30 - Training & Workshops
This course will provide you with an understanding of what the MAR means to your firm and employees. The course focuses on the move to the new rules and the practical application of systems and controls.

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


11 Jul 2017 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


11 Jul 2017 12:30 - 14:30 - Training & Workshops
The focus by the Regulators on Conduct Risk emphasises the importance of individuals in senior positions having a clear understanding of what is meant by Conduct Risk and how firms can go about mitigating it. This succinct course provides an overview of the concept of Conduct Risk from the regulatory perspective and sets out the issues which firms need to consider in addressing these risks coherently.

CPD: 2 Points / Price: £299.00 / Location: London, UK


11 Jul 2017 15:00 - 17:00 - Training & Workshops
The ever increasing focus by the Regulators on capital adequacy and the accountability of Senior Management, particularly when things go wrong, emphasises the importance of individuals in senior Management positions having a clear understanding.

CPD: 2 Points / Price: £299.00 / Location: London, UK


18 Jul 2017 09:30 - 12:30 - Training & Workshops
Recent announcements about extending the scope of the Senior Management and Certification Regimes beyond banking will result in asset managers and other firms needing to become familiar with the new regulatory requirements. This concise course gives an overview of the regimes and explores the issues which firms will need to address and resolve if they are to meet the new standards effectively.

CPD: 2 Points / Price: £299.00 / Location: UK


18 Jul 2017 12:30 - 14:30 - Training & Workshops
This course is aimed at explaining the COCON rules in practical terms and clarifying what is expected of organisations and individuals.

CPD: 3 Hours / Price: £299.00 / Location: London, UK


25 Jul 2017 14:00 - 17:00 - Training & Workshops
This course is designed to provide succinct guidance for MLRO in the preparation of the report.

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


27 Jul 2017 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


30 Jul 2017 - Training & Workshops
This practical one day workshop will equip you with the most up-to-date knowledge about the latest regulation requirements which apply to the operations of authorised funds.

CPD: Not Stated / Price: Price available upon application / Location: London, UK


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