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147 Event(s) Ordered by

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20 Feb 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


21 Mar 2018 13:30 - 21 Feb 2018 16:30 - 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: 3 Points / Price: £349.00 / Location: London, UK


23 Feb 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


28 Feb 2018 09:30 - 17:00 - Training & Workshops
You need to make it easy for customers to complain. What an aggrieved customer hates more than anything is a complaints process that’s opaque, complicated and onerous. The regulator couldn’t agree more.

CPD: 6.5 Hours / Price: Price available upon application / Location: London, UK


01 Mar 2018 09:30 - 16:30 - 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


02 Mar 2018 09:30 - 16:30 - Training & Workshops
The course includes examples of the offences that could have an impact on your business and individuals, including the potential for personal fines, prohibition or criminal proceedings.

CPD: 6 Points / Price: £649.00 / Location: London, UK


05 Mar 2018 09:30 - 13:30 - Training & Workshops
This course is specifically designed to assist Senior Management in meeting their statutory and regulatory obligations. Any failure to meet these obligations is a breach of the MLR and of the FCA/PRA Rules in “Senior Management Arrangements, Systems and Control (SYSC).

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


05 Mar 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


08 Mar 2018 09:30 - 11:30 - 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: London, UK


08 Mar 2018 13:30 - 15:30 - 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


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