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TISA - CASS Seminar Edinburgh

18 Oct 2017 13:00 - 18 Aug 2017 16:45 - Conferences & Seminars

Back by popular demand, we are hosting a further CASS Seminar in Edinburgh.

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

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Compliance Induction

24 Aug 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

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Money Laundering Reporting Officer: The role and responsibilities

25 Aug 2017 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

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The Role and Practice of Internal Audit

30 Aug 2017 09:30 - 17:30 - Training & Workshops

This course is specifically designed to assist Senior Management to understand the role of their internal audit function and to assist them in attaining an internal audit function upon which they can rely.

CPD: 7 Points / Price: £649.00 / Location: London, UK

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Corporate Governance in Financial Services Firms

05 Sep 2017 09:30 - 12:30 - Training & Workshops

This course will assist delegates in understanding those elements that go to make corporate governance an effective tool within your organisation.

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

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Identifying and Managing Conflicts of Interest

05 Sep 2017 13:30 - 17:30 - Training & Workshops

The course will examine the FCA’s expectations and the relevant rules, particularly Principle 8 of The Principles for Businesses. You will also explore the implications of these rules for firms from the FCA guidance and thematic reviews.

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

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Managing Conduct Risk

06 Sep 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

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Managing Capital Adequacy Risk

06 Sep 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

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