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.


  • Corporate Finance Directors and Managers in Banks, Brokers, Investment  Banks etc
  • Compliance Officers needing a Corporate Finance review
  • Fund Managers involved in Corporate Finance
  • Venture Capitalists involved in Corporate Finance
  • Lawyers and Accountants (CPD/CPE credit)
  • Those entering Compliance in a Corporate Finance operation


-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

-Regulatory Processes

-Anti Money Launderng Identification

-Cross Border Issues

-Conflicts and Confidential Information

-Financial Promotion

-Insider Dealing and Market Abuse

-Current Regulatory Developments including MiFID

-Compliance Manuals

-Compliance Procedures

-Compliance Monitoring








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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