Events and Training

Best Execution Online Workshop 2021

Creating a value-added process

Monday 8th March 2021, Online Workshop

£450 per person (£225 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.

ISA Transfers Online Workshop 2021

Tuesday 9th March 2021, Online Workshop

£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.

Digital Media & Financial Promotions Workshop 2021

2 x 3 hour workshops on consecutive days

Wednesday 10th March 2021, Online Workshop

£699 per person (£349 for members)

This course starts with a detailed reassessment of the meaning of key terms such as “financial promotion” and “communication” and an exploration of how the FCA views the marketing process through the Guidance in PERG. Then it explores the types and nature of social media and digital distribution and the...

Supervising Certified People Online Workshop 2021

Monday 15th March 2021,

£400 per person (£200 for members)

Join us for this interactive course. The three hour practical workshop will provide you with ideas for ensuring competent and effective supervision in a Certificated Regime.

Lifetime ISA Online Workshop 2021

Tuesday 16th March 2021, Online Workshop

£400 per person (£200 for members)

This online workshop is designed to provide ISA managers with a detailed overview of the key Lifetime ISA rules. It should be noted that the material will provide a brief overview of the new digital reporting as this is of a very technical nature and Lifetime ISA managers will need...

Additional Permitted Subscriptions Online Workshop 2021

Deceased ISA holders

Thursday 25th March 2021, Online Workshop

£400 per person (£200 for members)

This online workshop is designed to provide an overview of the key rules that managers need to be aware of if they have opted to receive these additional permitted subscriptions.

Risk Based Monitoring Workshop 2021

Creating a value-added framework

Monday 29th March 2021, 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...

UK Market Abuse Virtual Briefing 2021

Tuesday 30th March 2021, Online Briefing

£399 per person (£249 for members)

This market abuse briefing event will be led by experienced speaker Florian Nitschke, Director at Duff & Phelps, who will give an overview of the UK market abuse regime, cover the practical considerations for developing a robust market abuse framework and the current focus of the regulator and the impact...

ESG Virtual Forum 2021

Responding to demand for ESG investment options

Tuesday 30th March 2021,

£399 per person (£249 for members)

Join us at this forum to get the latest update from the Regulator and to gain insight into the UK proposed taxonomy and disclosure regulations, Sustainability Benchmarks and to learn about client suitability preferences and how it will affect firms’ investment strategies.

What are my duties as a senior manager in 2021?

Wednesday 31st March 2021, Online Workshop

£450 per person (£225 for members)

This course aims to help senior managers and their advisers to understand what is expected of them, the key role advisers to senior managers need to play in ensuring that “all reasonable steps” are taken to prevent breaches more broadly and to implement the SMCR effectively.

Flexible ISAs Online Workshop 2021

Tuesday 13th April 2021, 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 ISAs Online Workshop 2021

Tuesday 13th April 2021, 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.

Pensions/SIPPS Landscape & Transfers Workshop 2021

An overview of the UK pensions landscape with a focus on SIPPS

Wednesday 14th April 2021, Online Workshop

£450 per person (£225 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.

Operational Resilience Virtual Forum 2021

Countering critical function disruptions

Tuesday 20th April 2021, Online Forum

£399 per person (£249 for members)

It is anticipated that the regulator will publish their finalised rules in a Policy Statement in Q1 of 2021. This timely forum, the fourth in a series of TISA events on the topic of operational resilience, will be an opportunity to get an update regarding the final policy, insight into...

CASS Spring Virtual Forum 2021

Client asset protection during challenging times

Tuesday 27th April 2021, Online Forum

£399 per person (£249 for members)

Join us at this virtual forum to hear from leading industry practitioners and financial services auditors from across the industry about the latest regulatory developments and key CASS compliance requirements, including governance and oversight, oversight of third parties and outsourcing arrangement, appointed representatives, third party brokers and how to effectively...

ISA Qualifying Investments Online Workshop 2021

Wednesday 28th April 2021, 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.

The Big Picture Virtual Conference 2021

Tuesday 22nd June 2021, Online

£480 per person (£330 for members)

This new TISA flagship event will bring together leading voices from business, politics and regulation and delve into megatrends that will shape the financial services industry in the years to come: the UK financial services regulatory landscape post-Brexit, the aftermath of the COVID-19 pandemic, Britain’s looming social care crisis and...