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Date/Time
Date(s) - 07/12/2017
9:00 am - 1:00 pm
Location
CII Venue TBC
Categories
When & Where
8 June London
7 December London
Who should attend?
Staff working in compliance, operations and significant influence functions..
What are the outcomes of attending?
Programme
- FCA objectives and differentiating between consumer protection and market integrity
- The FCA’s three supervision pillars, with examples
- Understanding what a ‘business model’ is and the current challenges to it
- Culture and strategy
- Threshold Condition 4 and appropriate resources
- Updates on existing regulatory themes, from the perspective of conduct and prudential risk – TCF, transparency and disclosure, financial crime
- Significant influence functions – wider and more explicit accountability
- Disclosure and Representations Act
- Looking forward… IMD2.
Learning outcomes
At the end of the course you will be able to:
- Revise the aim and objectives of the FCA
- Explain the structure and approach of the FCA supervision model and suggest examples
- Determine the elements of a broker’s prudential risk and the expectations for how it is managed
- Explore the key strands on which the FCA will focus: the business model; strategy; culture and product development/distribution
- Review existing regulatory themes
- Recognise the implications for approved persons in significant influence functions.
Who is running the workshop?
CII
What have previous delegates said about this workshop?
How much does it cost?
£150 members
£170 non-members
How do I book?
For bookings, enquiries and updates visit www.cii.co.uk/f2f or call customer service 0208 989 8464
To discuss technical, in-house and bespoke courses contact Face-to-Face Training on 0207 391 1133 or email face-to-facetraining@cii.co.uk
