-
All
-
Online
-
Filters
-
Location
-
Online
-
Type of studies
-
+ Filters
Fsa compliance courses
- Course
- London
- Different dates available
...Background 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... Learn about: Financial Training, Corporate Finance, IT risk...
- Training
- London
- Intermediate
- Different dates available
- 14h - 2 Days
... covered under FUND • Examine how COLL applies to the activities of Directors, Managers, Administrators, Transfer Agents, Trustees and Custodians • Identify the key compliance and technical challenges in operating and marketing CIS • Explore the implications of developments in EU regulation, including... Learn about: Investment Management, Regulatory Compliance...
- Course
- Inhouse
- Different dates available
- 12h - 2 Days
...Do you need to get current with corporate finance regulations? Then this two day course is for you. Day 1 considers the measures the FSA has introduced or is proposing to deal with the quoted company issues which have arisen due to the difficult market conditions of 2008/09. These issues include... Learn about: Corporate Finance...
- Short course
- Inhouse
- Beginner
- Different dates available
- 1 Day
... 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... Learn about: Financial Risk, Financial Services, Regulatory Compliance...
- Course
- Inhouse
- Different dates available
- 3h - 1 Day
... Treasury, BoE & FSA become FPC, PRU and FCA from 1.1.13. Reasons for the change Dual regulation Intrusive regulation Conduct risk Competent Employees... Learn about: Soft Skills, Training and competence obligations...
- Course
- London
- Different dates available
...Background & Objectives This one day course provides a practical and essential guide, for staff of mortgage lenders, to the new rules as detailed in MCOB and appropriate sections of the FSA Sourcebook. At the end of the course delegates will have an understanding of the key regulatory issues... Learn about: Record Keeping, Sales Training, Financial Training...
- Course
- London
- Different dates available
...Background The FSA Handbook is lengthy and complex. The FSMA is even worse. Yet Director Managers and Compliance Officers are all expected to be knowledgeable about the rules and be able to judge their application. Failure to comply and also to monitor or communicate with others involved can... Learn about: Venture Capital, IT risk, Communication Skills...
- Course
- London
- Different dates available
...Background OEIC and Unit Trust Management and Administration companies are subject to scrutiny and inspection from various parties including Depositaries, Trustees and the FSA. Failure as a result of an inspection visit can result in substantial fines, adverse press publicity and even career... Learn about: Trustee audit, Auditing investments, Team Training...
- Course
- London
- Different dates available
... changes to the FSMA and the FSA Handbook. The course focuses on key aspects of the Directive, the changes to the FSMA and the FSA Handbook and the practical issues and challenges to be managed by compliance executives and senior management. Delegates Compliance Executives and Senior Management... Learn about: Financial Services, Financial Training...
- Course
- London
- Different dates available
... and their solutions will be identified. Delegates - OEICS Administration and Pricing staff - Accounting staff in Mutual Funds, Brokers, Fund Managers, Life Assurance companies - Compliance Officers needing a practical review - Auditors - IT executives designing Mutual Fund pricing systems Course... Learn about: Mutual Funds, Corporation Tax...
- Course
- Online
... arise. Understand the concepts of inflation, interest rates, FSA regulation, anti-money laundering rules and adhering to the Data Protection Act...
- Course
- Online
... knowledge and skills in FSA regulation and compliance, as required for the securities and investment industry.The SII Diploma in Investment Compliance is...
Questions & Answers
Add your question
Our advisors and other users will be able to reply to you