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Please note that this course is now closed. Register for the next available date here.

Please contact us with any questions.

23rd January 2019 – Training and Competence: Achieving Compliance


Time: 9.30am to 12.30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

Despite a renewed focus on individual accountability at senior management level, regulators remain committed to ensuring that firms are prioritising the competency of their staff. Indeed, the extension of the Senior Managers & Certification regime will put additional focus on the frameworks organisations use to satisfy themselves that their staff have the required knowledge, skills and expertise to discharge their responsibilities, with a high standard of ethical behaviour.

Traditionally, the training of an organisation’s people has fallen to the Human Resources team creating a need for cross-functional cooperation between HR and Compliance. This course is designed to help staff from both functions understand the regulatory foundations behind not only the learning framework, but also the ongoing supervision model.

Course Objectives:

Attendance on this course will enable you to:

  • Develop a sound knowledge of the TC Handbook purpose and scope.
  • Contextualise the Appropriate Qualification environment.
  • Understand the relevance and requirement behind the many Transitional Provisions and Grandfathering exemptions.
  • Recognise weaknesses in your own framework linked to the definition of competence at a role level and the training/assessment of competence.
  • Understand the critical role the supervisor plays, and the requirements on them under a Code of Conduct regime.
  • Recognise recent changes as a result of MiFID II, in order to validate the current compliance of an existing framework.

Key topics:

  • Who is covered by the rules
  • Appropriate Qualifications
  • Defining Competency
  • Assessing Competency
  • Ongoing supervision and needs analysis
  • Notification requirements

Course aimed at: Senior Managers, Compliance and HR professionals and any other individuals who are involved in learning and development programmes.

This course can also be delivered as an onsite course 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 ACA consultant.