IMS Open Course Schedule

Topics covered

• The UK regulatory environment
• High level and business standards
• Personal obligations
• Conduct of business rules – clients
• Conduct of business rules – investment process
• Financial crime
• Regulatory reporting and record keeping
• Short-selling controls
• CFD disclosure
• Telephone recording and retention of electronic communications relating to client orders and the conclusion of transactions

The compliance for Wholesale Investment Firms 1/2 day training course focuses on those areas of regulation and compliance that are of greatest relevance to staff as they conduct their roles and responsibilities. This is a departure from many ‘traditional’ training courses which provide a generic overview based on a syllabus.

Overview

• Specific focus on regulatory issues relating to hedge funds
• Each course is tailored to reflect the roles and responsibilities of the attendees
• Maximum of 12 attendees per session
• Can be used to demonstrate ‘competence’ of UK regulatory knowledge in accordance with the FSA’s rules and expectations