► Course Overview
Designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations, our annual compliance training focuses on areas which the regulator has been most active and topics that the FCA has indicated are a focus on for the year ahead, including financial crime.
This course looks at some of the key compliance policies and procedures that will be a core part of any compliance regime from personal account dealing arrangements to conflicts of interest and gifts and entertainment.
It also includes examples of the latest enforcement actions and case studies that will be relevant to a wide variety of firms. The session reminds teams of their responsibilities under the conduct rules.
► Course Objectives
► KEY TOPICS
Course aimed at: All staff
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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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