Events and Training

SFTR Reporting 101 – Part Two

Thursday 20th August 2020, Online Webinar

£400 per person (£250 for members)

SFTR Reporting becomes mandatory for firms in 2020 and is a daily reporting requirement covering 155 fields. This two-part briefing session provides a comprehensive grounding of this complex regulatory requirement. This session is part two of two.

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...

EMIR Reporting 101 – Part Two

Wednesday 26th August 2020, Online Webinar

£400 per person (£250 for members)

EMIR Reporting of derivatives has been mandatory for firms since 2014 and is a daily reporting requirement covering 129 fields. This two-part briefing session provides a comprehensive grounding of this complex regulatory requirement. This session is part two of two.

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.

MiFID II Virtual Conference

Cost & Charges and Product Governance

Thursday 3rd September 2020, Online Conference

£480 per person (£330 for members)

This conference is a timely opportunity to learn about the latest position on Costs & Charges issues, especially regarding calculation methodologies. The event will also address the challenges of product governance, including feedback reporting, product lifecycle, liquidity and target market which are all pressing issues for regulators in 2020.

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.

SM&CR post-implementation virtual forum

Challenges and best practices

Thursday 17th September 2020, Online Forum

£399 per person (£249 for members)

This Forum will provide a platform to firms to debate SM&CR post-implementation challenges and share best practices and serves as an opportunity for delegates to hear the view from the regulator.

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.

Maturing Child Trust Funds Online Briefing

Wednesday 23rd September 2020, Online Webinar

£400 per person (£250 for members)

This online briefing event will provide you with an insight into the challenges facing the industry in connecting with these children, from both a communication level and tracing the 1.7m lost account holders. It will also offer some solutions from the experts and feedback from the very people we are...

Financial Crime Virtual Conference

Turning technology against criminals

Tuesday 29th September 2020, Online

£480 per person (£330 for members)

Join us at this Conference to learn about innovative initiatives; the imperative role of Artificial Intelligence (AI) and to engage in discussions with experts about how to establish a collaborative industry response to effectively combat financial crime.

LIBOR Transition Online Forum

Migrating from LIBOR to SONIA and alternative rates

Wednesday 30th September 2020, Online

£399 per person (£249 for members)

Join us at this online forum to learn about the regulator’s expectations from markets for an orderly LIBOR transition and to hear experts’ views on how to generate transition plans that reinforce your firm’s operational readiness in order to overcome transition challenges and help consumers to comprehend the consequences of...

ESG Forum

Meeting investor needs

Wednesday 14th October 2020, London

£399 per person (£249 for members)

Join us at this forum to learn about the Government’s strategy and the regulator’s priorities and to hear experts’ and industry views on how to effectively integrate ESG into your investment strategy.

6th Annual CASS Conference 2020

Where CASS best practice gets put into effect

Thursday 15th October 2020, City of London

£699 per person (£449 for members)

TISA’s CASS Conference in London will bring together leading practitioners and financial services auditors from across the industry to address the latest regulatory developments related to client assets protection.

CASS Forum Edinburgh

Thursday 29th October 2020, Edinburgh

£399 per person (£249 for members)

TISA’s CASS Forum in Edinburgh will bring together leading practitioners and financial services auditors from across the industry to address the latest regulatory developments related to client assets protection.

Operational Resilience Forum

Managing risks and responding to disruptions

Wednesday 4th November 2020, London

£399 per person (£249 for members)

Join us for the third in a series of forums on the topic of operational resilience, to learn about the requirements and expectations of the supervisory authorities for firms and Financial Market Infrastructures to strengthen operational resilience and to hear from specialists and industry practitioners about how to effectively manage...

Financial Advice Conference

Delivering value for money

Wednesday 11th November 2020, London

£480 per person (£330 for members)

Join us at this conference to hear the view from the regulator and industry practitioners about the latest regulatory developments, market trends and best practices in overcoming the challenges in the financial advice sector.

Culture Conference

Embedding healthy cultures in financial services

Thursday 19th November 2020, London

£480 per person (£330 for members)

Join us at this conference in order to hear from the regulator, practitioners and experts about the latest regulatory developments and what financial services firms should further consider in order to ensure the development and effective management of purposeful and healthy corporate cultures.