Events and Training

ISA Applications Online Workshop

Thursday 20th August 2020, Online

£400 per person (£200 for members)

This online workshop will look in detail at the key regulatory issues that managers must adhere to in addition to the key areas of the ISA Guidance Notes and industry guidelines that managers should be aware of.

Risk Based monitoring

Creating a value-added framework

Tuesday 25th August 2020, Online Workshop

£450 per person (£225 for members)

Risk-based monitoring may seem an obvious and simple concept, but for regulated firms it is often complex and hard to demonstrate to senior management that it has value that befits the investment needed. Is a monitoring programme that checks adherence to a litany of rules effective in a world of...

Client Money Refresh Online Workshop

Recap and Update on CASS Requirements

Thursday 27th August 2020, Online

£400 per person (£300 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,...

Evidencing The Fair Treatment Of Vulnerable Customers

Online Workshop

Thursday 27th August 2020, Online Workshop

£400 per person (£200 for members)

Join us for this informative 3 hour course. You’ll be given the tips and resources you need to introduce a compassionate strategy and meet the specific needs of your customers.

Introduction to ISAs Online Workshop

Wednesday 2nd September 2020, Online Workshop

£300 per person (£150 for members)

This online workshop will provide a basic overview of all the key ISA rules. 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.

Innovative Finance ISA Key Facts Online Workshop

Wednesday 2nd September 2020, Online

£500 per person (£250 for members)

This online workshop has been designed to provide newly or soon to be authorised innovative finance (IF) ISA managers with an overview of the key ISA rules that they will have to adhere to once they offer an IF ISA product.

ISA Qualifying Investments Online Workshop

Thursday 10th September 2020, Online

£400 per person (£200 for members)

This online workshop will look in detail at how to determine if an investment qualifies to be held within an ISA, taking delegates through the stages of investigation necessary to make a decision.

Handling an FCA investigation

Practical issues for compliance professionals

Tuesday 15th September 2020, Online Workshop

£450 per person (£225 for members)

FCA is using its investigative powers with greater frequency than ever and continuing to pursue “credible deterrence”.  Navigating through an anonymised real case, this course takes a practical view, emphasising the issues affecting compliance professionals.

Flexible ISAs Online Workshop

Wednesday 16th September 2020, Online

£300 per person (£150 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.

Introduction to FCA

For newcomers to compliance

Tuesday 22nd September 2020, Online Workshop

£500 per person (£250 for members)

This online workshop intends to put the FCA and its supervision in the broader context of regulation and to give delegates a grounding in the key underpinnings and themes of FCA regulation which can act as a springboard for further learning.