London Governance and Compliance Academy

...Increased consumer detriment can arise when authorised firms default or exit the market. Poor records and ineffective segregation procedures create a slower... Learn about: Financial Risk, Financial Services, Risk Assessment...

...Market abuse is defined as behaviour (action or inaction) anywhere in the world, directly or indirectly affecting investments traded on financial markets... Learn about: Market Abuse, Regulation Financial, Finance Market...

...in managing risk Understand regulatory requirements pertaining to risk management through the lens of psychology and human behaviour Understand human behaviour... Learn about: Risk Management, Risk Analysis, Risk Assessment...

...personnel Which conduct does COCON cover Conduct rules staff and Senior conduct rules staff and what applies to whom Firms’ obligation to train their staff... Learn about: Compliance Management, Customer Relationship Management, Customer Manager...

...Promotions beyond MiFID – Codes of Advertising Practice, law, good taste What is a promotion and the extent to which it matters? The regulatory framework for promotions... Learn about: Banking Finance, Banking Regulation, IT risk...

...skills and expertise required to carry out their CASS responsibilities or CASS oversight activities without supervision. This seminar will provide delegates... Learn about: Financial Services, Asset Management, Investment Funds...