FSA Compliance for Corporate Finance Firms
Corporate Finance is an extremely Compliance sensitive area. Not only may many parties be involved but the amounts at risk are substantial and there is always client and market pressure to get things done.
This 1 day course aims to give Corporate Finance Executives (and others involved) a good understanding of the relevant rules from the FSA Handbook and FSMA regime, as well as their application in practice.
It is a practical course drawing on examples and case studies to illustrate how the rules work and their practical application.
-Overview of the FSMA Regime
-The Regulatory Treatment of Corporate Finance Business
-Controlled Functions and Approved Persons
-FSA Principles and the Code of Conduct for Approved Persons
-Systems and Controls
-Conduct of Business Rules Applicable ot Corporate FInance
-Client Acceptance Procedures
-FSA Client Classification
-Anti Money Launderng Identification
-Cross Border Issues
-Conflicts and Confidential Information
-Insider Dealing and Market Abuse
-Current Regulatory Developments including MiFID
Investment Education PLC