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158 Event(s) Ordered by

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27 Jun 2017 14:00 - 17:01 - Training & Workshops
The financial crisis of 2008/10 revealed some alarming deficiencies in the governance of firms in the “regulated sector”. Of particular concern to the Regulator is the contribution to good governance of Non-Executive Directors (NEDs) and especially the Independent NEDs (INEDS).

CPD: 7 Points / Price: £349.00 / Location: London, UK


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


29 Jun 2017 - Conferences & Seminars
This is your chance to hear from industry experts in respect of how firms can achieve compliance and their ongoing commitments. If you are a senior manager, or are responsible for ensuring your firm’s compliance with these obligations, you should attend.

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


29 Jun 2017 09:00 - 11:30 - Conferences & Seminars
This practical and participative specialist lecture will provide an introduction to conducting internet and open source investigations and the core skills needed.

CPD: Not Stated / Price: £65.00 / Location: London, UK


30 Jun 2017 13:30 - 16:30 - Training & Workshops
The course is aimed at assisting firms to fully understand the fraud risk, the practicalities involved in mitigating this risk and providing advice on what to do if it happens.

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


04 Jul 2017 08:30 - 10:00 - Conferences & Seminars
Our AGM and annual lecture is an opportunity for members and invited guests to hear about our recent achievements and plans for the future, and to network with friends and colleagues.

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


04 Jul 2017 09:30 - 16:30 - Training & Workshops
This course delivers practical guidance on the implementation of Risk Based Customer Due Diligence (CDD). With the continuing focus by the Regulator(s) on financial crime preventing, and particularly AML, it is vital that firms are able to demonstrate a risk based approach and evidence that appropriate CDD has been competed on all customers and other business relationships. There are many cases of firms getting this wrong and being fined, so whether your firm is in the wholesale or retail markets, this course is relevant to your business. Please note that attendance at this course assumes a good knowledge of the UK AML environment.

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


04 Jul 2017 18:00 - 20:00 - Briefings & Speeches
To gain more knowledge of the subject and to make your own mind up as to the true application of these technologies, we have gather four leading lights to give their insight

CPD: Not Stated / Price: £114.00 / Location: London, UK


05 Jul 2017 - Training & Workshops
This intensive one-day course conducted by a City expert provides a deep dive look at MiFID and the key areas of changes and considerations for firms as a result of MiFIR and MiFID II. Participants will be equipped to understand Market Structures, Investor Protection, Conduct of Business, Transaction Reporting, Systems Controls and Business Principles, Product Changes and Exchanges implemented under: MiFID, MiFID II/MiFIR.

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


05 Jul 2017 - 06 Jul 2017 - Training & Workshops
By attending the Programme delegates will be able to assess the strength of their own organisations’ governance, and identify where change and improvement is needed for their company to become more effective in creating value, resilient in times of market turbulence, and sustainable into the longer term.

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


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