£535 per person (£385 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...
£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...
£370 per person (£220 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.
£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.
£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.
£535 per person (£385 for members)
Join us for this informative 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.
£590 per person (£440 for members)
This 4 hour online workshop is intended to provide an overview of the key elements of the Client Money and Custody Asset rules set out in the FCA’s CASS 6 & CASS 7 sourcebooks. It is suitable for those with little or no previous experience in this area or for...
£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,...
£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...
£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.
