ADVANCED

Compliance Induction for Wholesale firms

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.

Course Overview:

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.

Course Objectives:

Attendance on this course will enable you to:

  • Understand the principle FCA requirements for wholesale financial services firms
  • Understand how your firm’s policies, procedures, systems and controls have been developed in order to address the regulatory obligations relevant to the firm
  • Identify the correct support resources available for specific issues

Key Topic:

  • The FCA & EU Regulatory environment
  • High Level Business Standards
  • Personal Obligations
  • Conduct of Business Rules- Clients
  • Conduct of Business Rules – Investment and Trading
  • Regulatory Reporting and Record Keeping
  • Financial Crime

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.