Managing the compliance function: a practical guide

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 lead to severe penalties on both a personal and corporate basis.

This 1 day course is designed to provide a practical guide to the FSA Handbook, a -route-map- for selecting the relevant sections to you and your firm. It will also help in reviewing the adequacy of your Compliance culture and function.
Delegates
All Directors and Managers with a Compliance responsibility in Banks, Brokers, Fund Managers, Life Assurance, Venture Capital etc
Those entering a Compliance or Risk Role
Accountants and Internal Auditors
Lawyers with limited practical knowledge who are involved with Compliance(CPD Credit)