Fsa compliance courses

...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: IT risk, Financial Training, Corporate Finance...

... 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: Training and competence obligations, Soft Skills...

... 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 Services, Financial Risk, FSA regulatory regime...

...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...

... involved in selling mortgages and how they apply to the delegates firm and individuals sales/supervisory roles. Delegates Bank and building society mortgage advisers Client facing staff involved in mortgages Compliance officers Supervisors of mortgage sales Mortgage packagers T&C officers In addition... 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: Venture Capital, IT risk, Communication Skills...

... 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...

... dislocation. This one day course covers the main areas of interest to trustees and depositaries during their audits and highlights problems frequently encountered. Solutions and advice in preparing for an inspection visit are also covered Delegates Compliance staff working in the unit trust management company... Learn about: Team Training, Trustee audit, 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...