9th April 2024: Consumer Duty Training
Course Overview In July 2022, the Financial Conduct Authority, or FCA, published a policy statement, with final rules, on its Consumer Duty initiative. This comprises a new principle, cross-cutting rules, […]
26th March 2024: Operational Resilience Training
Course Overview One of the ways in which regulators assess their performance is by measuring whether consumers get the products and services they need and want from firms they can […]
25th April 2024: Your MLRO Training Day
NB! THIS IS AN IN-PERSON COURSE IN LONDON. With regulatory fines exceeding £600 million in the past two years due to failures in AML systems and controls, can you or your team […]
28th February 2024: AML Compliance System Optimisation
Context: AML regulation has been incorporated in compliance program for decades. In recent years the tendencies of governments to tighten the net around tax avoidance practices and the increased use […]
20th February 2024: Financial Promotions Under COBS
Course Overview Financial promotions are the way in which the investment and pensions market tells the public about itself. Since this subject was first regulated in the late 1980s, there […]
15th February 2024: Your MLRO Training Day
With regulatory fines exceeding £600 million in the past two years due to failures in AML systems and controls, can you or your team ever be overtrained or too prepared on everything […]
9th February 2024: AML in Crypto Training
Overview Due to ever changing regulatory landscape for cryptocurrencies, rules & regulations keep evolving and new ones are added. Cryptocurrencies are still new and people around the world are starting […]
6th February 2024: Market Abuse Training
Course Overview The Market Abuse Regulation (MAR) was introduced in July 2016 and the FCA continues to fine both individuals and high-profile firms in the fund industry for breaches. Along […]