ADVANCED

Open Course Schedule

  • Compliance Officer: The Role and Responsibilities – 21st June 2017
    • Time: 9:30am to 4:30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background

      The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules.

      While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a CO and explains, in practical terms, how the regulatory expectations and those of Senior management can be achieved.
      (more…)

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  • Compliance Induction – 22nd June 2017
    • Time: 9:30am to 4:30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      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. (more…)

      learn more / Register
  • Money Laundering Reporting Officer: The Role and Responsibilities – 23rd June 2017
    • Time: 9.30am to 4.30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:

      The role of the Money Laundering Reporting Officer  (MLRO)  is a mandatory position in all firms in the Financial Services Industry. (more…)

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  • The role and responsibilities of the Independent Non-Executive Director (INED) – 27th June 2017
    • Time: 2.00pm to 5.00pm

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Cost: £349 + VAT

      Course Background:

      The financial crisis of 2008/10 revealed some alarming deficiencies in the governance of firms in the “regulated sector”. Of particular concern to the Regulator is the contribution to good governance of Non-Executive Directors (NEDs) and especially the Independent NEDs (INEDS). (more…)

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  • Compliance Officer: Writing an Effective Compliance Report – 29th June 2017
    • Time: 2:00pm to 5:00pm

      Cost: £349 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James's Square, London, SW1Y 4JJ

      Course Overview:

      One of the main responsibilities of the Compliance Officer is to provide management with an assessment of the firm’s systems and controls that have been put in place to achieve compliance with the applicable rules.

      Compliance assessments will be undertaken during the course of the year as part of the compliance monitoring programme and reports will need to be produced following each test or group of tests. In addition the Compliance Officer will be required to produce reports to the governing body of the firm on a regular basis.

      It is therefore vital that reports put across the right messages in the right way. They need to be designed to be read and understood to ensure they are effective; clearly identifying the high priority issues so they do not get lost in what may be a number of findings.

      This course will examine what “effective” really means in practice and the methods one can use to produce compliance reports that will result in changes where they are needed.

      (more…)

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  • Financial Crime – Fraud Prevention: The often ‘Forgotten Risk’ – 30th June 2017
    • Time: 1:30pm - 4.30pm

      Cost: £349 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:

      The course is aimed at assisting firms to fully understand the fraud risk, the practicalities involved in mitigating this risk and providing advice on what to do if it happens. (more…)

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  • Market Abuse Regulation (July 2016) – 30th June 2017
    • Time: 9:30am to 12:30pm

      Cost: £349 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Overview:

      On 3rd July the new EU Market Abuse Regulation (MAR) came into effect, updating the Market Abuse Directive that has been in place since July 2005.

      This course will provide you with an understanding of what the MAR means to your firm and employees. The course focuses on the move to the new rules and the practical application of systems and controls.

      The FCA has already commented on weaknesses in firm’s systems and controls in their thematic review of Market Abuse. The new MAR presents firms with fresh challenges.

      The weaknesses identified by the FCA, coupled with the stated intention of the FCA to take action against more individuals and firms by way of enforcement and prosecutions, means that all firms should be taking appropriate action to ensure effective systems and controls are in place to manage the risk.

      One of the controls is the provision of effective training. The FCA Thematic review stated the following as being “Good Practice” with regard to training:

      “Approximately half the firms had face to face training to complement on line training. This encouraged debate of real life scenarios and a full understanding of how market abuse rules apply in practice. Three firms used examples in training from their own experiences of fund managers and analysts inadvertently receiving inside information, to promote awareness of this risk.”

      (more…)

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  • Financial Crime: Anti Money Laundering / Risk Based Customer Due Diligence – 4th July 2017
    • Time: 9.30am to 4.30pm

      Location: Cordium UK offices, 31 St James's Square, London SW1Y 4JJ

      Cost: £649 + VAT

      Course Background:

      This course delivers practical guidance on the implementation of Risk Based Customer Due Diligence (CDD).
      (more…)

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  • Financial Crime – Anti-Money Laundering Awareness (AML) – 6th July 2017
    • Time: 13:30am to 15:30pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James's Square, London, SW1Y 4JJ

      Course Overview:

      Under Regulation 21 of the Money Laundering Regulations 2007 (MLR) senior management must ensure that immediately on joining the firm employees at all levels of seniority receive training in AML. In addition refresher training must also be provided at a frequency determined by the firm’s AML risk assessment.

      This course is specifically designed to assist Senior Management in meeting these obligations. Any failure to meet these obligations is a breach of the MLR and of the FCA/PRA Rules in “Senior Management Arrangements, Systems and Control (SYSC).

      The course is also invaluable to MLRO’s that need to have a good knowledge of the UK AML regime to enable them to carry out their role successfully.

      (more…)

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  • Financial Crime Prevention – Anti Money Laundering, Anti Bribery and Corruption and Market Abuse – 6th July 2017
    • Time: 9:30am to 12:30pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:

      This course is specifically designed to assist Senior Management in meeting their obligations under Regulation 21 of the Money Laundering Regulations 2007 (MLR).
      (more…)

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  • Managing Capital Adequacy Risk – 11th July 2017
    • Time: 3pm to 5pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Overview:

      The ever increasing focus by the Regulators on capital adequacy and the accountability of Senior Management, particularly when things go wrong, emphasises the importance of individuals in senior Management positions having a clear understanding:

      • of what is expected of them as holders of Significant Influence Functions,
      • of how the firm’s financial and regulatory reporting processes ensure compliance with the relevant obligations, and
      • at a level of detail appropriate to understand and challenge the work done by internal resources and/or outsourced service providers, of relevant prudential requirements and capital calculations.

      This course is designed to assist Senior Management to embed a compliance ethos in the individual and a strong compliance culture throughout the firm.

      (more…)

      learn more / Register
  • Senior Management Obligations in FCA Regulated Firms – 11th July 2017
    • Time: 9.30am to 11.30am

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:

      The ever increasing focus by the Regulators on the accountability of Senior Management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. (more…)

      learn more / Register
  • Managing Conduct Risk – 11th July 2017
    • Time: 12.30pm - 2.30pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Overview

      The focus by the Regulators on Conduct Risk emphasises the importance of individuals in senior positions having a clear understanding of what is meant by Conduct Risk and how firms can go about mitigating it.  This succinct course provides an overview of the concept of Conduct Risk from the regulatory perspective and sets out the issues which firms need to consider in addressing these risks coherently.
      (more…)

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  • The role and responsibilities of the Independent Non-Executive Director (INED) – 12th July 2017
    • Time: 9.30am to 12.30pm

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Cost: £349 + VAT

      Course Background:

      The financial crisis of 2008/10 revealed some alarming deficiencies in the governance of firms in the “regulated sector”. Of particular concern to the Regulator is the contribution to good governance of Non-Executive Directors (NEDs) and especially the Independent NEDs (INEDS). (more…)

      learn more / Register
  • The Data Protection Act and the responsibilities of the DP Officer in Financial Services firms – 13th July 2017
    • Time: 9.30am to 4.30pm

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Cost: £649 + VAT

      Course Background:

      Data security and protection are now at the forefront of the fight to prevent both fraud and regulatory censure for lax controls over customer data. Latest statistics indicate that UK business is facing an annual £98.6 billion fraud bill. Instances of white collar crime are on the rise, evidenced by the huge rise in cybercrime and cyber-enabled fraud. Seven out of ten frauds involve some kind of technology. Prosecutions have trebled over the last three years, with a 200% increase in the number charged with “cyber” offences.

      (more…)

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  • Financial Crime Briefing – The New Regulations 14th July 2017
    • Time: 9:30am - 12.30pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:

      The new Money Laundering Directive (MLD4) comes into force on 26th June this year and will be closely followed by changes to the suspicious activity reporting (SAR) regime and implementation of key aspects of The Criminal Finance Act 2017 (CFA) expected in September.
      (more…)

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  • The Senior Managers and Certification Regime for Dual regulated firms – 18th July 2017
    • Duration: 2 hours

      Time: 9:30am to 12:30pm

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Cost: £299 + VAT

      Course Overview:

      Recent announcements about extending the scope of the Senior Management and Certification Regimes beyond banking will result in asset managers and other firms needing to become familiar with the new regulatory requirements.  This concise course gives an overview of the regimes and explores the issues which firms will need to address and resolve if they are to meet the new standards effectively.

      (more…)

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  • The FCA Code of Conduct Rules: Understanding and Complying with COCON – 18th July 2017
    • Time: 12.30pm to 2.30pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:  From 7th March 2017, the obligation to comply with the Code of Conduct rules will be expanded to include almost all staff involved in any form of regulated activity in organisations within the scope of the Senior Managers and Certification Regime ("SMCR").   (more…)

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  • Corporate Governance in Financial Services Firms – 19th July 2017
    • Time: 1.30pm - 4.30pm   

      Cost: £349 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London

      Course Overview:

      A robust and well defined governance structure underpins all effective governance frameworks and is key to compliance with the FCA’s requirements in its Systems and Controls handbook (SYSC).  An informal structure with limited documentation or poorly defined processes cannot support management in the oversight of its business and can lead to a lack of transparency regarding which body or individual is accountable for activities and a reliance on informal reporting mechanisms. (more…)

      learn more / Register
  • Money Laundering Reporting Officer: The Role and Responsibilities – 20th July 2017
    • Time: 9.30am to 4.30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:

      The role of the Money Laundering Reporting Officer  (MLRO)  is a mandatory position in all firms in the Financial Services Industry. (more…)

      learn more / Register
  • Compliance Officer: The Role and Responsibilities – 25th July 2017
    • Time: 9:30am to 4:30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background

      The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules.

      While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a CO and explains, in practical terms, how the regulatory expectations and those of Senior management can be achieved.
      (more…)

      learn more / Register
  • Compliance Officer: Writing an Effective Compliance Report – 26th July 2017
    • Time: 9:30am to 12:30pm

      Cost: £349 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James's Square, London, SW1Y 4JJ

      Course Overview:

      One of the main responsibilities of the Compliance Officer is to provide management with an assessment of the firm’s systems and controls that have been put in place to achieve compliance with the applicable rules.

      Compliance assessments will be undertaken during the course of the year as part of the compliance monitoring programme and reports will need to be produced following each test or group of tests. In addition the Compliance Officer will be required to produce reports to the governing body of the firm on a regular basis.

      It is therefore vital that reports put across the right messages in the right way. They need to be designed to be read and understood to ensure they are effective; clearly identifying the high priority issues so they do not get lost in what may be a number of findings.

      This course will examine what “effective” really means in practice and the methods one can use to produce compliance reports that will result in changes where they are needed.

      (more…)

      learn more / Register
  • Identifying and Managing Conflicts of Interest – 26th July 2017
    • Time: 1.30pm to 4.30pm

      Cost: £349 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James's Square, London, SW1Y 4JJ

      Course Background

      The FCA expects firms to take appropriate and effective steps to avoid conflicts of interest or, at least, manage them properly.
      (more…)

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  • Compliance Induction – 27th July 2017
    • Time: 9:30am to 4:30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      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. (more…)

      learn more / Register
  • Money Laundering Reporting Officer: Writing the Annual Report to the Board – 3rd August 2017
    • Time: 9.30am to 12:30pm

      Location: Cordium UK offices, Norfolk House, 31 St James's Square, London, SW1Y 4JJ

      Cost: £349 + VAT

      Course Background:

      The Money Laundering Reporting Officer (MLRO) is required to produce a report to the governing body of the firm at least once a year.

      This report must include an opinion as to the effectiveness of the anti-money laundering systems and controls, together with other information that the MLRO needs to bring to the attention of the governing body. This requirement links with the obligation that the MLRO has as an Approved Person.

      (more…)

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  • Financial Crime Prevention – Anti Money Laundering, Anti Bribery and Corruption and Market Abuse – 3rd August 2017
    • Time: 2:00pm to 5:00pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:

      This course is specifically designed to assist Senior Management in meeting their obligations under Regulation 21 of the Money Laundering Regulations 2007 (MLR).
      (more…)

      learn more / Register
  • Senior Management Obligations in FCA Regulated Firms – 8th August 2017
    • Time: 9.30am to 11.30am

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:

      The ever increasing focus by the Regulators on the accountability of Senior Management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. (more…)

      learn more / Register
  • Managing Conduct Risk – 8th August 2017
    • Time: 12.30pm - 2.30pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Overview

      The focus by the Regulators on Conduct Risk emphasises the importance of individuals in senior positions having a clear understanding of what is meant by Conduct Risk and how firms can go about mitigating it.  This succinct course provides an overview of the concept of Conduct Risk from the regulatory perspective and sets out the issues which firms need to consider in addressing these risks coherently.
      (more…)

      learn more / Register
  • Managing Capital Adequacy Risk – 8th August 2017
    • Time: 3pm to 5pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Overview:

      The ever increasing focus by the Regulators on capital adequacy and the accountability of Senior Management, particularly when things go wrong, emphasises the importance of individuals in senior Management positions having a clear understanding:

      • of what is expected of them as holders of Significant Influence Functions,
      • of how the firm’s financial and regulatory reporting processes ensure compliance with the relevant obligations, and
      • at a level of detail appropriate to understand and challenge the work done by internal resources and/or outsourced service providers, of relevant prudential requirements and capital calculations.

      This course is designed to assist Senior Management to embed a compliance ethos in the individual and a strong compliance culture throughout the firm.

      (more…)

      learn more / Register
  • The Senior Managers and Certification Regime for Dual regulated firms – 9th August 2017
    • Duration: 2 hours

      Time: 9:30am to 11:30am

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Cost: £299 + VAT

      Course Overview:

      Recent announcements about extending the scope of the Senior Management and Certification Regimes beyond banking will result in asset managers and other firms needing to become familiar with the new regulatory requirements.  This concise course gives an overview of the regimes and explores the issues which firms will need to address and resolve if they are to meet the new standards effectively.

      (more…)

      learn more / Register
  • The FCA Code of Conduct Rules: Understanding and Complying with COCON – 9th August 2017
    • Time: 12.30pm to 2.30pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:  From 7th March 2017, the obligation to comply with the Code of Conduct rules will be expanded to include almost all staff involved in any form of regulated activity in organisations within the scope of the Senior Managers and Certification Regime ("SMCR").   (more…)

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  • Suitability and Appropriateness: Avoiding mis-selling – 16th August 2017
    • Time: 9.30am to 4.30pm

      Location: Cordium UK offices, 31 St James's Square, London SW1Y 4JJ

      Cost: £649 + VAT

      Course Background:

      This is a very interactive one day course, designed to provide practical guidance to individuals involved in selling investment products to consumers.

      (more…)

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  • Financial Crime – Fraud Prevention: The often ‘Forgotten Risk’ – 17th August 2017
    • Time: 09:30am - 12.30pm

      Cost: £349 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:

      The course is aimed at assisting firms to fully understand the fraud risk, the practicalities involved in mitigating this risk and providing advice on what to do if it happens. (more…)

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  • Whistleblowing: The new rules and practical application – 17th August 2017
    • Time: 13:30pm to 16:30pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Overview:

      The FCA state that the new rules are “non-binding guidance” for all firms other than UK Deposit Takers, PRA designated investment firms and insurance firms that needed to be compliant by 7th September 2016.

      Many firms for which “non-binding guidance applies will take the prudent view that the rules represent “market best practice” and implement many of the requirements of the rules in any case.

      Tracey McDermott, the FCA acting Chief Executive has commented “Whistleblowers play an important part in exposing poor practices in firms……it is in the interest of the industry and regulators alike that wrong doing is identified and addressed promptly. These rules are designed to build on and formalise the good practice already widespread in the industry.”

      Guidance on Whistleblowing (the Public Interest Disclosure Act) already exists within Senior Management Arrangements, Systems and Controls as it is viewed by the regulator as a control required in all firms; but the new rules take things to the next level.
      (more…)

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  • Compliance Officer: The Role and Responsibilities – 18th August 2017
    • Time: 9:30am to 4:30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background

      The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules.

      While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a CO and explains, in practical terms, how the regulatory expectations and those of Senior management can be achieved.
      (more…)

      learn more / Register
  • Managing the FCA visit and avoiding escalation – 22nd August 2017
    • Time: 9:30am to 4:30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James's Square, London, SW1Y 4JJ

      Course Overview: 

      The FCA has tremendous, draconian powers that can do untold damage to your business. So how do you combat this when things go wrong?

      We hope this never happens but when it does how prepared are you? This course is specifically designed to assist Senior Management to prepare for the visit and for that worst case scenario

      The course includes examples of the offences that could have an impact on your business and individuals, including the potential for personal fines, prohibition or criminal proceedings.

      As the saying goes, “Forewarned is forearmed” and the cardinal rule when dealing with the regulator is never to be complacent. Prevention is often better (and in this case cheaper) than cure and that is why we are offering this training course.

      (more…)

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  • Compliance Induction – 24th August 2017
    • Time: 09:30am to 16:30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      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. (more…)

      learn more / Register
  • Money Laundering Reporting Officer: The Role and Responsibilities – 25th August 2017
    • Time: 9.30am to 4.30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:

      The role of the Money Laundering Reporting Officer  (MLRO)  is a mandatory position in all firms in the Financial Services Industry. (more…)

      learn more / Register
  • The Role and Practice of Internal Audit – 30th August 2017
    • Time: 9.30am to 17.30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Overview:

      The FCA has described the Internal Audit function as “the function of assessing adherence to and the effectiveness of internal systems and controls, procedures and policies.”  To enable the function to meet this requirement requires it to be independent of the day to day business operations, have access to all the firm’s records and to be resourced by individuals who have a strong moral code of independence and objectivity.

      This course is specifically designed to assist Senior Management to understand the role of their internal audit function and to assist them in attaining an internal audit function upon which they can rely.

      The course includes examples of the areas covered by internal audit, the risk management approach to internal auditing, undertaking a review and what you should expect from the reports provided to you.

      (more…)

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  • Identifying and Managing Conflicts of Interest – 5th September 2017
    • Time: 1:30pm to 4:30pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James's Square, London, SW1Y 4JJ

      Course Background

      The FCA expects firms to take appropriate and effective steps to avoid conflicts of interest or, at least, manage them properly.
      (more…)

      learn more / Register
  • Corporate Governance in Financial Services Firms – 5th September 2017
    • Time: 9.30pm - 12.30pm   

      Cost: £349 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London

      Course Overview:

      A robust and well defined governance structure underpins all effective governance frameworks and is key to compliance with the FCA’s requirements in its Systems and Controls handbook (SYSC).  An informal structure with limited documentation or poorly defined processes cannot support management in the oversight of its business and can lead to a lack of transparency regarding which body or individual is accountable for activities and a reliance on informal reporting mechanisms. (more…)

      learn more / Register
  • Senior Management Obligations in FCA Regulated Firms – 6th September 2017
    • Time: 9.30am to 11.30am

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:

      The ever increasing focus by the Regulators on the accountability of Senior Management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. (more…)

      learn more / Register
  • Managing Conduct Risk – 6th September 2017
    • Time: 12.30pm - 2.30pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Overview

      The focus by the Regulators on Conduct Risk emphasises the importance of individuals in senior positions having a clear understanding of what is meant by Conduct Risk and how firms can go about mitigating it.  This succinct course provides an overview of the concept of Conduct Risk from the regulatory perspective and sets out the issues which firms need to consider in addressing these risks coherently.
      (more…)

      learn more / Register
  • Managing Capital Adequacy Risk – 6th September 2017
    • Time: 3pm to 5pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Overview:

      The ever increasing focus by the Regulators on capital adequacy and the accountability of Senior Management, particularly when things go wrong, emphasises the importance of individuals in senior Management positions having a clear understanding:

      • of what is expected of them as holders of Significant Influence Functions,
      • of how the firm’s financial and regulatory reporting processes ensure compliance with the relevant obligations, and
      • at a level of detail appropriate to understand and challenge the work done by internal resources and/or outsourced service providers, of relevant prudential requirements and capital calculations.

      This course is designed to assist Senior Management to embed a compliance ethos in the individual and a strong compliance culture throughout the firm.

      (more…)

      learn more / Register
  • Financial Crime – Politically Exposed Persons and Financial Sanctions – 8th September 2017
    • Time: 9.30am - 12.30pm   

      Cost: £349 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London,

      Course Overview:

      This succinct 3 hour course provides advice and guidance on compliance with the Statutory and Regulatory requirements relating to Politically Exposed Persons (PEPs) and Financial Sanctions.

      If you have business relationships with customers, clients, investors, portfolio and/or investee companies and either your firm or your administrator “on-boards” them, the obligation is on your firm to ensure that appropriate risk based procedures are in place to determine whether you are entering into a relationship with a PEP and/or an entity against which there are financial sanctions.

      Where a PEP or a sanctioned entity is identified Firms must ensure adequate measures are taken to mitigate the risk. Failure to evidence that these requirements are met will risk regulatory censure for non-compliance with one or more of the 11 Principles for businesses and the potential for prosecution.

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  • Market Abuse Regulation – 8th September 2017
    • Time: 13:30pm to 16:30pm

      Cost: £349 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Overview:

      On 3rd July the new EU Market Abuse Regulation (MAR) came into effect, updating the Market Abuse Directive that has been in place since July 2005.

      This course will provide you with an understanding of what the MAR means to your firm and employees. The course focuses on the move to the new rules and the practical application of systems and controls.

      The FCA has already commented on weaknesses in firm’s systems and controls in their thematic review of Market Abuse. The new MAR presents firms with fresh challenges.

      The weaknesses identified by the FCA, coupled with the stated intention of the FCA to take action against more individuals and firms by way of enforcement and prosecutions, means that all firms should be taking appropriate action to ensure effective systems and controls are in place to manage the risk.

      One of the controls is the provision of effective training. The FCA Thematic review stated the following as being “Good Practice” with regard to training:

      “Approximately half the firms had face to face training to complement on line training. This encouraged debate of real life scenarios and a full understanding of how market abuse rules apply in practice. Three firms used examples in training from their own experiences of fund managers and analysts inadvertently receiving inside information, to promote awareness of this risk.”

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  • Financial Crime – Anti-Money Laundering Awareness (AML) – 12th September 2017
    • Time: 09:30am to 11:30am

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James's Square, London, SW1Y 4JJ

      Course Overview:

      Under Regulation 21 of the Money Laundering Regulations 2007 (MLR) senior management must ensure that immediately on joining the firm employees at all levels of seniority receive training in AML. In addition refresher training must also be provided at a frequency determined by the firm’s AML risk assessment.

      This course is specifically designed to assist Senior Management in meeting these obligations. Any failure to meet these obligations is a breach of the MLR and of the FCA/PRA Rules in “Senior Management Arrangements, Systems and Control (SYSC).

      The course is also invaluable to MLRO’s that need to have a good knowledge of the UK AML regime to enable them to carry out their role successfully.

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  • Financial Crime Prevention – Anti Money Laundering, Anti Bribery and Corruption and Market Abuse – 13th September 2017
    • Time: 13:30pm to 16:30pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:

      This course is specifically designed to assist Senior Management in meeting their obligations under Regulation 21 of the Money Laundering Regulations 2007 (MLR).
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  • The Senior Managers and Certification Regime for Dual regulated firms – 14th September 2017
    • Duration: 2 hours

      Time: 9:30am to 11:30am

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Cost: £299 + VAT

      Course Overview:

      Recent announcements about extending the scope of the Senior Management and Certification Regimes beyond banking will result in asset managers and other firms needing to become familiar with the new regulatory requirements.  This concise course gives an overview of the regimes and explores the issues which firms will need to address and resolve if they are to meet the new standards effectively.

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  • The FCA Code of Conduct Rules: Understanding and Complying with COCON – 14th September 2017
    • Time: 12.30pm to 14.30pm

      Cost: £299 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:  From 7th March 2017, the obligation to comply with the Code of Conduct rules will be expanded to include almost all staff involved in any form of regulated activity in organisations within the scope of the Senior Managers and Certification Regime ("SMCR").   (more…)

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  • Money Laundering Reporting Officer: The Role and Responsibilities – 19th September 2017
    • Time: 9.30am to 16.30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background:

      The role of the Money Laundering Reporting Officer  (MLRO)  is a mandatory position in all firms in the Financial Services Industry. (more…)

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  • Money Laundering Reporting Officer: Writing the Annual Report to the Board – 21st September 2017
    • Time: 9.30am to 12:30pm

      Location: Cordium UK offices, Norfolk House, 31 St James's Square, London, SW1Y 4JJ

      Cost: £349 + VAT

      Course Background:

      The Money Laundering Reporting Officer (MLRO) is required to produce a report to the governing body of the firm at least once a year.

      This report must include an opinion as to the effectiveness of the anti-money laundering systems and controls, together with other information that the MLRO needs to bring to the attention of the governing body. This requirement links with the obligation that the MLRO has as an Approved Person.

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  • Compliance Induction – 28th September 2017
    • Time: 09:30am to 16:30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      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. (more…)

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  • Compliance Officer: Writing an Effective Compliance Report – 29th September 2017
    • Time: 13:30am to 16:30pm

      Cost: £349 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James's Square, London, SW1Y 4JJ

      Course Overview:

      One of the main responsibilities of the Compliance Officer is to provide management with an assessment of the firm’s systems and controls that have been put in place to achieve compliance with the applicable rules.

      Compliance assessments will be undertaken during the course of the year as part of the compliance monitoring programme and reports will need to be produced following each test or group of tests. In addition the Compliance Officer will be required to produce reports to the governing body of the firm on a regular basis.

      It is therefore vital that reports put across the right messages in the right way. They need to be designed to be read and understood to ensure they are effective; clearly identifying the high priority issues so they do not get lost in what may be a number of findings.

      This course will examine what “effective” really means in practice and the methods one can use to produce compliance reports that will result in changes where they are needed.

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  • Compliance Officer: The Role and Responsibilities – 29th September 2017
    • Time: 9:30am to 4:30pm

      Cost: £649 + VAT

      Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

      Course Background

      The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules.

      While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a CO and explains, in practical terms, how the regulatory expectations and those of Senior management can be achieved.
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