Regulation & Compliance – The Fundamentals

Loading Map....

Date(s) - 24/05/2017
9:30 am - 5:00 pm

London - Venue TBC


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

·         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?


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 today


About Author

Leave A Reply