Date/Time
Date(s) - 24/05/2017
9:30 am - 5:00 pm
Location
London - Venue TBC
Categories
When & Where
24 May London
Who should attend?
This one-day briefing has been designed for:
- New employees of financial services firms
- Employees wishing to update their knowledge
- Students of foundation or certificate level regulatory qualifications
.
What are the outcomes of attending?
The structure of regulation
· An introduction to regulation
· The Financial Services and Markets Act 2000
· The Financial Services Act and creation of the FCA and PRA
· Regulated activities and investments
· An overview of the principles for businesses
· Senior management systems and controls
Authorisation
· Understand the routes to authorisation
· Learn who can be excluded from authorisation
The FCA’s approach to regulation
· Statutory and operational objectives
Approved Persons
· What is the Fit and Proper Test?
· How does the approval process work?
· Performing controlled functions
Conduct of Business rules
· An introduction to client categorisation
· Understanding inducements
· Rules regarding financial promotions
· Assessing appropriateness and suitability
Client money rules
· The Client Assets Sourcebook (CASS)
· Accountability and record-keeping
Financial rules
· Meeting prudential standards
· The EU’s Capital Requirements Directives
Complaints, enforcement and redress
· What is a complaint?
· Understanding procedures and timescales
· The Financial Services Compensation Scheme
· The Financial Services Ombudsman
· Penalties
Insider dealing and market abuse
· An overview of offences and penalties
· The UK Listing Authority’s Model Code
Money laundering
· What is money laundering?
· Legislation and offences
· Carrying out due diligence
Recent developments
· Expert guidance on the latest announcements, consultation papers and enforcement
Who is running the workshop?
FSTP
What have previous delegates said about this workshop?
How much does it cost?
Single Booking £595.00 +VAT
Multiple Booking £535.50 +VAT
How do I book?
Call 0203 178 4230 or email info@fstp.co.uk today
Powered by Events Manager