► Course Overview
Senior management in financial services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.
This CPD certified course is designed to assist senior management to embed a compliance ethos in the individual and a strong compliance culture throughout the firm.
► Course Objectives
Attendance on this course will enable you to:
- A sound knowledge of the UK regulatory environment
- An understanding of the reason for policies and procedures
- The ability to evidence a risk based approach
- An understating of the obligations on firms to develop a strong compliance culture
- Knowledge of what can happen if you do not “do the right thing”
► KEY TOPICS
- The UK Regulatory Environment
- High level business standards
- Personal obligations
- Systems and Controls
- An introduction to the Conduct of Business Rules
- Financial crime prevention
- Examples of enforcement action on firms and individuals
Course aimed at: Individuals who are working or are seeking to work in a regulated environment.
► TAILOR YOUR TRAINING:
Speak to us today to learn how our specialist and bespoke training solutions can help you better understand the regulatory framework and apply compliance. Click here to download our menu of available training courses and options available.
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