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Compliance Basics

in Investment Education PLC (England)

Classes Course

Price:

£380 + VAT

Duration:

1 Day

Start:

19/01/2009 calendar
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Requirements:

No prior knowledge is assumed.

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Course objectives:

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.

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Course details

Type Course Duration 1 Day
Method / place Contact course provider Inhouse / Classes
Suitability - Employees of financial services companies who need to understand basic Compliance. - New employees in FSA regulated Financial Service companies.
Course objectives 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.
Requirements
No prior knowledge is assumed.
Price £380 + VAT
Get direct information on how to enrol, venues and availability...

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Course programme

Compliance Basics
Compliance Basics

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
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When Start: 19/01/2009 Finish: 19/01/2009 See calendar
 
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On Investment Education PLC

Provider description
Investment Education PLC provides  both Public and In-House Tailored courses in Securities, Derivatives, Hedge Funds, Accounting, Back & Front Office Operations and Fund Administration. Newly introduced subjects include Trade Fails. Operational Risks and Human Performance Measurement in Financial Services.
It serves the Fund Management,  Securities, Broking and Banking industries providing interesting, practical and focused courses. It also helps IT providers and Government regulators  who interact with the FInancial community.
Founded in 1987, it is now one of the world’s leading international financial training companies offering regular courses in the United Kingdom, across Europe and the Americas and Middle East.
It has  15 presenters located in several countries. All trainers and presenters have current or recent actual experience of working in their subject area as well as presentational experience. The company is different in that It emphasizes real problems, experience and practice not pure theory or exam knowledge. Growth has mainly come through client recommendation.  Some courses can be presented in French or German etc
One reason successful clients come to Investment Education PLC is for its Course Tailoring and Design. These meet client needs – all delivered at very reasonable rates anywhere in the world.
Advantages of studying with Investment Education PLC
Public or In-house tailored courses Courses at client locations - anywhere Courses emphasize real problems, experience and practice -  not pure theory or irrelevant exam knowledge. Presenters have years of actual work experience in their area of presentation Enjoyable and interesting courses  - well presented. if people enjoy themselves  learning is easy ! Some courses can be presented in French or German etc Unlimited fee post course assistance to participants
Course provider history
Founded in 1987, it is now one of the world’s leading international financial training companies offering Public and In-House Tailored courses in the United Kingdom, across Europe and the Americas and Middle East. Our substantial growth has come via client recommendation.
Specialises in
Hedge Funds Futures, Options, Swaps, CDOs OEICS, Unit Trust & SICAV Administration Corporate Actions Bonds & Fixed Income Markets Accounting for Investment Accounting for Derivatives Global Custody Failed Trades Management Risks & Controls with  Securities Operations Fund Managment Overview Pension Trustee Investment Breifings (various) Pension Regulation Offshore Fund Administration Securities Markets & Settlement (various) Pension Fund Accounting Compliance Data Protection Act Briefings Human Performance Measurement  Finance for the Non-Financial Qualified Intermediary and US NRA Regulations  OEICS & Unit Trust Accounting Transfer Agency Venture Capital Banking Operations How the Real World Affects Investments Pension Fund Transfers Securities Lending & Borrowing

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