Course description
This live and interactive session will explore due diligence within the financial services sector for FCA authorised firms. Some prior experience of the due diligence process is assumed and it is aimed at those who wish to bolster their knowledge in line with the FCA’s expectations.
It will include practical examples of what good due diligence ‘looks like’ and the interactive session will allow you to align the due diligence process to your own business environment. Join expert presenter Julie Ampadu in our virtual classroom as she discusses the definition of due diligence within the financial services environment, why robust due diligence is crucial, and how to undertake background checks on third parties. Appointed Representatives, the risks of poor practice, and what to do if it all goes wrong will also be covered.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
This live broadcast session will explore due diligence within the financial services sector for FCA authorised firms.
The session assumes some prior experience of the due diligence process and is aimed at those who wish to bolster their knowledge in line with the FCA’s expectations.
It will include practical examples of what good due diligence ‘looks like’ and the interactive session will allow you to align the due diligence process to your own business environment.
What You Will Learn
This live and interactive broadcast will cover the following:
- The definition of due diligence within the financial services environment
- Why robust due diligence is crucial
- How to undertake background checks on third parties
- Appointed Representatives and due diligence
- How to incorporate due diligence checks within your compliance framework
- The difference between good and poor practice
- The risks of poor practice
- What to do if it all goes wrong
Expenses
MBL Seminars Limited
MBL is a leading learning and development provider for professional service firms. Over the past 18 years, more than 198,000 people across 23,000 different organisations spanning 81 countries, have chosen us to deliver their training. With over 800 expert speakers...