Top courses
- Short course
- Online
- Intermediate
...Increased consumer detriment can arise when authorised firms default or exit the market. Poor records and ineffective segregation procedures create a slower... Learn about: Risk Assessment, Financial Risk, Risk Analysis...
- Course
- Online
- Intermediate
- Different dates available
...Market abuse is defined as behaviour (action or inaction) anywhere in the world, directly or indirectly affecting investments traded on financial markets... Learn about: EU Law, Regulation Financial, Financial Compliance...
- Short course
- Online
- Intermediate
- 2 Days
...in managing risk Understand regulatory requirements pertaining to risk management through the lens of psychology and human behaviour Understand human behaviour... Learn about: IT risk, Business Risk, Risk Assessment...
- Short course
- Online
- Intermediate
- 1 Day
...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: Customer Manager, Customer Relationship Management, Regulation Financial...
- Short course
- Online
- Intermediate
- 1 Day
...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: IT risk, Banking Finance, Banking Regulation...
- Short course
- Online
- Intermediate
- 1 Day
...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, Financial Training, Investment Funds...