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 Compliance, Finance Market, Financial Risk...

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

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

...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 Retention, Customer Service Skills, Regulation Financial...

...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 Regulation, Banking and Finance, Banking Finance...

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