Investment Education PLC
http://www.investmenteducation.net/course.php?courseId=aav5pv8fcagsxyfxeqj0
Compliance Basics
Last Updated - 26 June 2008
Todays Date -
Return to CoursePrint course
Duration 1 day
London
Fee Further dates available on request

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 

  • Employees of financial services companies who need to understand basic Compliance  
  • New employees in FSA regulated Financial Service companies  

No prior knowledge is assumed

 

Content

 

What is compliance?

 

-The uk regulatory environment

 

-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