Compliance Basics

Investment Education Plc

Short course

Inhouse

£ 201-500

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Description

  • Type

    Short course

  • Level

    Beginner

  • Methodology

    Inhouse

  • Duration

    1 Day

  • Start date

    Different dates available

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. Suitable for: Employees of financial services companies who need to understand basic Compliance. New employees in FSA regulated Financial Service companies.

Facilities

Location

Start date

Inhouse

Start date

Different dates availableEnrolment now open

About this course

No prior knowledge is assumed.

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Reviews

Subjects

  • Financial Risk
  • Compliance
  • Financial Services
  • FSA
  • IT
  • Finance
  • Financial
  • Financial Training
  • Regulatory Compliance
  • FSA regulatory regime

Course programme

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

Additional information

Payment options: Future dates to be arranged later in the year. Course available in-house, details / price available upon request

See related categories

Compliance Basics

£ 201-500

The best Regulation and Compliance courses

See all

See all