£390 per person (£240 for members)
This online workshop is designed to provide an overview of the key rules that managers need to be aware of when an ISA client dies and their obligations regarding additional permitted subscriptions.
Last few places
£330 per person (£180 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...
£635 per person (£485 for members)
This 4 hour online workshop is intended to provide a good understanding of the requirements for compliance with the Client Assets (CASS) rules of the FCA, relating to Client Money & Custody Assets.
£370 per person (£220 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.
£425 per person (£275 for members)
This half-day online workshop looks at the FCA view on why culture matters, introduces core concepts around organisational culture and how to measure it, and explores how to embed cultural resilience across your firm. You'll gain insight into regulatory expectations, real-world M&A and leadership case studies, and practical tools to...
£575 per person (£425 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.
£450 per person (£300 for members)
This online course has been designed to provide staff with an overview of the key facts within the ISA regulations. The workshop will be updated to include all the relevant changes to the ISA regulations which came into force on 6 April 2024 so attendees can be sure that they...
£575 per person (£425 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.
£390 per person (£240 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...
£390 per person (£240 for members)
This three hour 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
£330 per person (£180 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.
£425 per person (£275 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.
£330 per person (£180 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.
£425 per person (£275 for members)
This half-day workshop breaks down how the FCA and ICO sandboxes operate, who can benefit, and what makes a standout application. We’ll also explore the Supercharged Sandbox — a cross-regulator programme designed for advanced, multi-disciplinary innovations. Although the current round will have closed, understanding its structure can help future-proof your projects...
£330 per person (£180 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...
£330 per person (£180 for members)
This workshop will guide delegates through all the ISA returns and clarify all the key components that need to be included as well as highlight the recent changes that the government has made to the returns. The workshop will be useful for any individuals who are actively involved in the...
£575 per person (£425 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.
£575 per person (£425 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.
£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...
£425 per person (£275 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.
£390 per person (£240 for members)
This online workshop takes delegates through the various steps involved when carrying out an ISA repair or an ISA void including the removal of the necessary investments or cash and the tax implications for both the ISA manager and the investor. The session will cover the repairing or voiding of...
£330 per person (£180 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.
£390 per person (£240 for members)
This online workshop is designed to provide an overview of the key rules that managers need to be aware of when an ISA client dies and their obligations regarding additional permitted subscriptions.
£390 per person (£240 for members)
This three hour 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
£575 per person (£425 for members)
In this full day online workshop you’ll learn how to create an effective and sensitive complaints procedure that will help you keep your customers (who may have otherwise gone in frustration to your competitors).
£575 per person (£425 for members)
This is a full-day course on risk-based compliance monitoring - a fundamental staple of the regulated environment, but with firms being disciplined on a regular basis for failures of compliance, questions arise as to the effectiveness of the monitoring in place, whether it has the right aims and objectives, uses...
£425 per person (£275 for members)
This half-day online workshop looks at the FCA view on why culture matters, introduces core concepts around organisational culture and how to measure it, and explores how to embed cultural resilience across your firm. You'll gain insight into regulatory expectations, real-world M&A and leadership case studies, and practical tools to...
£635 per person (£485 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.
£425 per person (£275 for members)
Join this online workshop to gain a holistic view of the UK pensions landscape, the challenges being faced and the initiatives being introduced. We will cover all types of DC pension transfer processing and a review of forthcoming industry initiatives.
£635 per person (£485 for members)
This 4 hour online workshop is intended to provide a good understanding of the requirements for compliance with the Client Assets (CASS) rules of the FCA, relating to Client Money & Custody Assets.
£370 per person (£220 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.
£330 per person (£180 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...
£450 per person (£300 for members)
This online course has been designed to provide staff with an overview of the key facts within the ISA regulations. The workshop will be updated to include all the relevant changes to the ISA regulations which came into force on 6 April 2024 so attendees can be sure that they...
£390 per person (£240 for members)
This three hour 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
£330 per person (£180 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.
£390 per person (£240 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...
£425 per person (£275 for members)
This half-day course looks at Social Engineering and the dangers for facilitating fraud, cyber crime and intellectual property theft. Combatting social engineering risk effectively should be central to any firm’s financial crime and Consumer Duty controls.
£425 per person (£275 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.
