Managing the Compliance Function: A Practical Guide


Background

The FSA Handbook is lengthy and complex.  The FSMA is even worse.  Yet Director Managers and Compliance Officers are all expected to be knowledgeable about the rules and be able to judge their application.   

Failure to comply and also  to monitor or communicate with others involved can lead to severe penalties on both a personal and corporate basis.

This 1 day course is designed to provide a practical guide to the FSA Handbook, a route-map for selecting the relevant sections to you and your firm.  It will also help in reviewing the adequacy of your Compliance culture and function.

Delegates

  • All Directors and Managers with a Compliance responsibility in Banks, Brokers, Fund Managers, Life Assurance, Venture Capital etc
  • Those entering a Compliance or Risk Role
  • Accountants and Internal Auditors
  • Lawyers with limited practical knowledge who are involved with Compliance(CPD Credit)

Content 

-What is Compliance?

-Compliance v Risk

-Who is responsible?

-Creating a Compliance culture 

-Risk Assessments-Deciding what rules apply and the level and type of risk

-Controlled functions and approved persons

-Systems and controls

-Terms of Reference, Job Descriptions and Delegation 

-Drafting Compliance manuals and procedures manuals 

-Key rules, policies and procedures 

  • Client acceptance
  • Money laundering
  • Financial promotion
  • Market abuse
  • Complaints
  • Conduct of business
  • Client money and custody
  • Training and competence
  • Monitoring
  • The Compliance calendar-notifications
  • Management information
  • Interface with the FSA
  • MiFID implementation  

 

 




Todays Date:


Duration 1 day
Available as an in-house course







Investment Education PLC
45 Old Hall Road, Manchester M7 4JF, United Kingdom
Tel:+44 (0)161 832 3800
Email: mail@investmentEducation.net
Registered in England Number 2129160
VAT Registered Number GB 480 2112 85



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