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96 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


13 Dec 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


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 - Training & Workshops
A “public” programme designed at the request of one of the leading banks.

CPD: Not Stated / Price: Price available upon application / Location: To Be Advised


Dates available on application - Training & Workshops
Online Training Course provided by CTP.

CPD: No / Price: Price available upon application / Location: Global


Dates available on application - Training & Workshops
Binding authorities present a significant area of regulatory and business risk to delegating insurers and coverholders. If you are a delegating insurer, how do you monitor your coverholders effectively? If you are a coverholder, what can you do to demonstrate you are acting in the best interests of the insurer and in compliance with regulatory expectations? Focusing on general coverholder activity, business models, internal controls, and system functionality, this one day workshop will provide valuable insights into how insurers and coverholders can provide assurance in this critical area or regulatory and business risk.

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


Dates available on application - Training & Workshops
This focused briefing has been specifically designed for board Chairmen, Non-executive Directors, Company Secretaries and all those involved in supporting board level governance and performance.

CPD: 3 Hours / Price: Price available upon application / Location: London, UK


Dates available on application - Training & Workshops
This workshop will offer practical help and valuable support for anyone who is handling third party claims or claims arising from property risks.

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


Dates available on application - Training & Workshops
This event will be of value to those holding the Client Money Oversight function, Board Members and Senior Management, Finance, Compliance and Risk officers and Operations managers in consumer credit firms.

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


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