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
· 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
· 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
Insider dealing and market abuse
· An overview of offences and penalties
· The UK Listing Authority’s Model Code
· What is money laundering?
· Legislation and offences
· Carrying out due diligence
· 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 firstname.lastname@example.org today