It is essential that everyone in a wholesale financial services firm has sufficient knowledge and understanding of the regulatory obligations which arise in the context of the firm’s activities. To have limited, or no knowledge or understanding, could have serious consequences. Senior Managers also need to understand their compliance responsibilities in order that a suitable compliance infrastructure and culture is installed within the firm.
This course gives a solid overview of the UK regulatory regime and the material regulatory obligations that arise in a wholesale firm. The course is followed by a 1hr test to assess the delegates understanding of the topics covered.
Attendance on this course will enable you to:
Course aimed for: For staff and Senior Management working in a Wholesale financial services regulated firm
Duration: One day
Location: Cordium offices
Cost: £700 + VAT per delegate
Maximum numbers: 15
To discuss your training requirements in more detail please contact Philip Naughton on 0207 408 2448 or your usual Cordium consultant.