Regulation & Compliance – The Fundamentals

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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

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