Most of our instructor led training courses are delivered as open and onsite courses. Delegate numbers are restricted to a maximum of 15 to ensure a more interactive and dynamic relationship between the attendees and the trainer. Our onsite courses are delivered at our client’s offices and are tailored to the firm’s requirements. Our trainers have delivered onsite courses to a variety of firms from boutique firms to larger institutional firms, training in the range of 6 – 100 delegates per individual session.
We currently offer the following instructor led training workshops:
- Anti-Bribery Procedures
- Course Background: After a lengthy gestation period spanning almost decades, the UK Bribery Act 2010 (“the Act”) came into force on 1 July 2011. It has been described as “the toughest anti-corruption legislation in the world”, although the UK government believes that it will boost the prospects of UK business through their enhanced reputation for ethical standards. The Act introduces some new criminal offences including a very strict requirement for UK corporates to prevent bribery anywhere in the world committed on their behalf and for their benefit. The Act is also notable in that it demands higher standards in certain respects than comparable anti-corruption laws in other jurisdictions.While all UK corporates need to be aware of the Act’s prohibitions and requirements, the need for FCA regulated financial services to have systems and controls to seek to prevent them becoming a victim, perpetrator or conduit of any financial crime is longstanding. Accordingly, such firms are in a relatively good position to prepare for the Act and are likely to be able to leverage an existing framework of appropriate procedures in their preparation.View Details
- Anti-Money Laundering
- Course Background: Having effective Anti-Money Laundering (“AML”) controls is a key requirement of all regulated financial services firms, whether or not they actually handle client money or assets as part of their service. Staff must follow the firm’s AML procedures and must also report any suspicions they form in the course of performing their roles. A failure by a firm to have suitably robust AML procedures or a failure by staff to follow these procedures or report suspicions could have serious consequences for the firm or the people concerned.View details
- Market Abuse
- Course Background: Market Abuse is one of the most serious issues facing financial services organisations. There are calls for the UK Government to increase the penalties for Market Abuse in this country to bring them into line with those imposed in the United States.View details
- Capital Adequacy and Regulatory Reporting
- Course Background: Continuing emphasis on regulatory capital and financial reporting requirements, and the FCA’s expectation that senior management understand financial reporting, means firms should ensure they have the correct reporting structures in place to meet the FCA’s requirements and that senior management understand what this reporting means.
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- Compliance Induction for Private Equity Firms
- Course Background:It is essential that everyone in a Private Equity advisory and/or management firm has sufficient knowledge and understanding of the regulatory obligations which arise in the context of the firm’s activities. Senior Managers also need to understand their compliance responsibilities in order that a suitable compliance infrastructure and culture is installed within the firm.
- Compliance Induction for Wholesale firms
- Course Background: 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.View details
- Financial Promotions
- Course Background:When anyone in the course of business communicates an invitation or inducement to engage in investment activity (which includes making an investment or receiving another investment service), they are engaged in what is known as financial promotion.In addition to various legal obligations attaching to the content of the financial promotion (under, say, advertising standards, or the general rule of law not to mislead or deceive), certain regulatory provisions are also applied by the rules of the FinancialConduct Authority (“FCA”). Generally, the FCA rules require that Financial Promotions are “fair, clear and not misleading”. Cordium can provide support through the medium of a training course (as well as general consulting) to help firms ensure that the regulatory requirements pertaining to their financial promotions are met.
- SEC Training for UK Compliance Professionals
- Course Background: Chief Compliance Officers at SEC registered firms are required to be competent and knowledgeable regarding the US Investment Advisers Act 1940. For many UK based CCO’s the FCA rules prove demanding enough. To help firms required to register with the SEC, or firms caught by the Dodd Frank rules to file as Exempt Reporting Adviser, Cordium has developed a training course that delivers the key information compliance staff need to know about the US regulatory framework, the Advisers Act requirements and related compliance obligations.
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- Senior Management Obligations & Effective Corporate Governance
- Course Background:According to the FCA “The effectiveness of governance in a firm is demonstrated by evidence of its practical operation as well as the design of governance structure and processes: the level of a Board’s interest in and engagement with the business it governs; its strength and understanding and challenge of the risks and issues in play at any time; the visibility and accessibility of its members; the clear evidence of active oversight through the regular scrutiny and challenge of management information and reporting. These are all contributing factors of effective governance”.The FCA also stresses the need for firms to establish robust controls to monitor and mitigate risk and to ensure they are appointing the ‘right people to the right roles’.
To book a place on one of our open courses, please view our open course schedule. To discuss booking an onsite course at your firm’s offices, please contact our Head or Training Solutions, Terry Douglas on +44(0)207 484 3961 or contact your usual Cordium consultant.