Please note that this course is now full. If you have any questions, please feel free to contact us.

14th December 2018 – Compliance Induction

 

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.

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

Course Objectives:

  • A sound knowledge of the UK Regulatory Environment
  • An understanding of the reason for policies and procedures
  • The ability to evidence a risk based approach
  • An understanding of the obligations on firms to develop a strong compliance culture
  • Knowledge of what can happen if you do not “do the right thing”

Key Topic:

  • The UK Regulatory Environment
  • High level business standards
  • Personal obligations
  • Systems and Control
  • An introduction to the Conduct of Business Rules
  • Financial Crime Prevention
  • Examples of Enforcement action on firms and individuals

Course aimed at: any individuals who are working or are seeking to work in a regulated environment.

This course can be delivered onsite or as an instructor lead course at a firm’s office.

If you would like to discuss your training requirements in more detail please contact Graham Dix on 020 7484 3987 or your usual Cordium consultant.