Compliance Induction for Wholesale firms

Course Background:

It is essential that everyone in a wholesale financial services firm has sufficient knowledge and understanding of the regulatory obligations which arise in the context of the firm’s activities.  To have limited, or no knowledge or understanding,  could have serious consequences. Senior Managers also need to understand their compliance responsibilities in order that a suitable compliance infrastructure and culture is installed within the firm.

Course Overview:

This course gives a solid overview of the UK regulatory regime and the material regulatory obligations that arise in a wholesale firm.

Course Objectives:

Attendance on this course will enable you to:

• Understand the principle FSA requirements for wholesale financial services firms
• Understand how your firm’s policies, procedures, systems and controls have been developed in order to address the regulatory obligations relevant to the firm
• Identify the correct support resources available for specific issues

Key Topic:

• The FSA & EU Regulatory environment
• High Level Business Standards
• Personal Obligations
• Conduct of Business Rules- Clients
• Conduct of Business Rules – Investment and Trading
• Regulatory Reporting and Record Keeping
• Financial Crime

Course aimed for: For staff and Senior Management working in a Wholesale financial services regulated firm

Duration: One day

Venue: IMS offices

Price: £700 + VAT per delegate payable in advance (includes optional online examination)

Maximum numbers: 15

Cancellation Policy: If you cancel your place giving less than 2 weeks’ notice the full attendance fee will not be refunded. However, you may send a colleague to attend in your place.

 If you would like to speak to someone about our education and training services please contact Peter Moore +44 (0)207 408 2448. Alternatively, to view further details on future open course dates, please click on Training Dates.