Capital Adequacy & Regulatory Reporting Workshop

Course Background:

Continuing emphasis on regulatory capital and financial reporting requirements, and the FSA’s expectation that senior management understand financial reporting, means firms should ensure they have the correct reporting structures in place to meet the FSA’s requirements and that senior management understand what this reporting means.

Course Overview:

This course provides comprehensive guidance on the capital adequacy and regulatory reporting requirements for Limited Licence firms, investment managers and brokers, and also provides fundamental insight into the FSA’s regulatory reporting and capital requirements for simpler and some more complex firms and groups.

Course Objectives:

Attending this course will enable you to:

• Explain the main Capital Requirements of a fund management or matched principal brokerage firm

• Identify the correct returns required to be submitted to the FSA
• Accurately review and assess a set of financial returns
• Explain the non-financial reporting requirements submitted by GABRIEL for a fund management firm

Key Topics

• Integrated Regulatory Reporting
• FSA001 Balance Sheet and FSA002 Income Statements
• FSA003 Capital Adequacy
• Consolidation returns
• Non-financial returns

Course aimed for: Senior Managers in financially regulated firms and other individuals responsible for financial reporting

Duration: 2.5 hours

Venue: IMS Offices

Price: £400 + VAT per delegate payable in advance

Maximum Numbers: 12

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.