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Compliance Basics
Background
This course aims to give a good basic understanding of the FSA regulatory regime, its aims and its application to the employees of FSA regulated firms.
It is a practical course drawing on examples and case studies to illustrate how the rules work and their practical application.
This is an ideal course for staff who are new to the industry or for all those moving into a Compliance role.
The course may also be used as a tool to demonstrate training and competence under the FSA T&C regime.
Delegates
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Employees of financial services companies who need to understand basic Compliance
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New employees in FSA regulated Financial Service companies
No prior knowledge is assumed
Content
What is compliance?
-The
-The financial services and markets act 2000
-The financial services authority - role and scope
-The fsa handbook
The FSA Handbook
-MiFID Impact
-High level principles for firms and individuals
-Code of conduct for approved persons
-Senior management systems and controls
-Conduct of business rules
-Client assets
Client categorisation
-Types of client
-Different rules for different types of client
Insider dealing
Market manipulations and market abuse
Money laundering
Training and competence
Regulatory processes
In house compliance arrangements
The Compliance function
Todays Date: |
| Duration | 1 day |
| London | |
| Fee | Further dates available on request |
Investment Education PLC
4th floor, Oddfellows house, 40 Fountain Street, Manchester M2 2BE, United Kingdom
Tel:+44 (0)161 832 3800 Fax: +44 (0)161 832 5800
Email: mail@investmentEducation.net
Registered in England Number 2129160
VAT Registered Number GB 480 2112 85
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