Events and Training

Advanced CASS Reconciliations 2024

Tuesday 5th March 2024, Zoom

£590 per person (£440 for members)

This 4 hour online workshop is intended to provide a detailed understanding of the requirements for good CASS Reconciliation, both the preparation and subsequent  actions and follow up under the FCA regulatory regime. The course will include practical examples of good and bad practice, which firms should be looking to...

Flexible ISAs Online Workshop 2024

Thursday 7th March 2024, Zoom

£315 per person (£165 for members)

This two hour online workshop is designed to provide an overview of the key operational issues that managers need to be aware of in relation to ISA flexibility.

Client Money Refresh Online Workshop 2024

Tuesday 19th March 2024, Zoom

£480 per person (£330 for members)

This online workshop will cover the ongoing training requirements for those engaged in CASS related roles, whether as CASS specialists, operational practitioners or in Compliance or Internal Audit. Participants will receive a refresher of the Client Money requirements within CASS 7, including a recap of the key requirements and updates,...

Junior ISA (JISA) Key Facts Online Workshop 2024

Tuesday 26th March 2024, Zoom

£315 per person (£165 for members)

Junior ISAs (JISAs) have their own separate rules and, like ISAs, the regulations and additional HMRC guidance are constantly being updated and it is important that JISA managers and their employees are fully aware of their obligations on the key issues. This online workshop has been designed to provide staff...

Evidencing the Fair Treatment of Vulnerable Customers 2024

Wednesday 27th March 2024, Zoom

£535 per person (£385 for members)

Join us for this informative 2-part online course where you’ll be given the tips and resources you need to introduce a compassionate strategy and meet the specific needs of vulnerable customers.

Introduction to ISAs Online Workshop 2024

Wednesday 27th March 2024, Zoom

£315 per person (£165 for members)

The workshop aims to provide an overview of how the ISA scheme works, what key options are available to ISA investors and what authorised ISA managers need to do to adhere to the ISA regulations.

Pension Death Benefit Online Workshop 2024

Tuesday 9th April 2024, Zoom

£370 per person (£220 for members)

DC pension death benefits have undergone several changes in recent years, with an increase in the options available and the opportunity to pass on pension wealth through generations without incurring tax charges. This course is designed to help attendees understand the various options available, the processing of associated crystallisation events...

Best Execution Online Workshop 2024

Creating a value-added process

Wednesday 10th April 2024, Zoom

£400 per person (£250 for members)

Based on experience from multiple best execution projects, this online course highlights the key areas where firms fail and how firms can make their best execution policies genuinely embedded and value-added.

CASS Governance & Oversight 2024

Tuesday 23rd April 2024, Zoom

£480 per person (£330 for members)

This 3 hour online workshop is intended to provide an understanding of the requirements for good CASS oversight and governance under the FCA regulatory regime. The course will include practical examples of good and bad governance and areas of best practice, which firms should be looking to meet or aspire...

Cyber security for compliance professionals 2024

NEW COURSE

Wednesday 24th April 2024, Zoom

£535 per person (£385 for members)

This online course aims to address these concerns by first deep-diving into what cyber risk actually is, and the context for how the FCA frames its rules and guidance. It focuses on the importance of a high-quality risk appetite statement and risk assessment as drivers of an effective control environment,...

DC Retirement Options Workshop 2024

Thursday 25th April 2024, Zoom

£370 per person (£220 for members)

Join this online workshop to gain an understanding of the retirement options open to DC pension savers.  The challenges and risks being faced and new additions and changes to the framework.

Digital Media & Financial Promotions 2024

Tuesday 4th June 2024, Zoom

£535 per person (£385 for members)

Digital media channels and distribution methods are fast becoming critical for most regulated firms, especially those dealing in consumer markets. With their rapid and potentially indiscriminate dissemination, digital media are very different from traditional marketing media and the FCA Rules are “media neutral” so this requires careful consideration to ensure...

How to navigate the FCA Handbook 2024

Thursday 4th July 2024, Online Workshop 09:30 - 12:30, then break, resuming 13:30 - 16:30 GMT, Zoom

£535 per person (£385 for members)

Using a series of worked examples, this course aims to provide delegates with an overview on how to navigate the FCA Handbook - a vast, sprawling and sometimes seemingly impenetrable document.