Fsa compliance courses

...) 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. Delegates Corporate Finance Directors and Managers... Learn about: Corporate Finance, Financial Training, IT risk...

... 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...

... arise. Understand the concepts of inflation, interest rates, FSA regulation, anti-money laundering rules and adhering to the Data Protection Act...

... 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 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: FSA regulatory regime, Financial Risk, Regulatory Compliance...

...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...

...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, Financial Training, Sales Training...

...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: IT risk, Communication Skills, Venture Capital...

... 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: Corporation Tax, Mutual Funds...

...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, Team Training, Auditing investments...

... 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...

... knowledge and skills in FSA regulation and compliance, as required for the securities and investment industry.The SII Diploma in Investment Compliance is...