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FSA Courses
- Course
- London
- Different dates available
...) 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...
- Bachelor's degree
- Online
- Different dates available
... of FINANCIAL SERVICE ADVISOR™ (FSA™) professional awarded by the FINANCIAL PLANNING INSTITUTE OF SOUTHERN AFRICA... Learn about: Financial Planning, Financial Training...
- Course
- London
- Different dates available
...Background & Objectives This one day course provides a practical guide for mortgage brokers, to the rules regulating residential mortgage sales 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... Learn about: Financial Training, Sales Training...
- Bachelor's degree
- Online
- Different dates available
... Advisor™/FSA™ professional awarded by the Financial Planning Institute of Southern Africa (FPI). On completion of this qualification, students... Learn about: Financial Training, Business and Management, Financial Planning...
- 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: Sales Training, Record Keeping, Financial Training...
- Course
- London
- Different dates available
...Background & Objectives This one day course provides a practical guide for IFA's as to the rules regulating residential mortgage sales as detailed in MCOB and appropriate sections of the FSA Sourcebook, including the key T&C requirements. Particular emphasis is put on understanding the mortgage... Learn about: Sales Training, Sales Process, Financial Training...
- Short course
- Inhouse
- Beginner
- Different dates available
- 1 Day
...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... Learn about: Financial Training, FSA regulatory regime, Financial Services...
- Course
- London
- Different dates available
... -Traditional With Profits Compliant Advice Process -Fact Finding -Fees/Commission -Data Gathering -Suitability Report - contents, requirements imposed by... Learn about: IT risk...
- 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: Auditing investments, Team Training, Trustee audit...
- 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: Communication Skills, Venture Capital, IT risk...
- 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
...Content Comparison between UK authorised Open-Ended Investment Companies and UCITS Investment Companies Regulations for OEICS -FSA Handbook... Learn about: Mutual Funds, Corporation Tax...
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