Course description
For senior managers, clarity on what constitutes ‘reasonable steps’ and how to evidence that the appropriate reasonable steps have been taken is proving be a challenge for many firms.
This virtual classroom seminar with leading FCA compliance trainer Julie Ampadu will provide practical guidance on the behaviours expected in respect of evidencing reasonable steps so that senior managers are comfortable and confident in managing their responsibilities.
The session is geared towards Senior Managers (SMFs) of FCA authorised and regulated firms, as well as Certified Compliance Functions, Heads of Compliance and Compliance Managers.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
For senior managers, clarity on what constitutes ‘reasonable steps’ and how to evidence that the appropriate reasonable steps have been taken is proving to be a challenge for many firms.
This new virtual classroom seminar will provide practical guidance on the behaviours expected in respect of evidencing reasonable steps so that senior managers are comfortable and confident in managing their responsibilities.
The session is geared towards Senior Managers (SMFs) of FCA authorised and regulated firms, as well as Certified Compliance Functions, Heads of Compliance and Compliance Managers.
What You Will Learn
This live and interactive session will cover the following:
- Introduction to reasonable steps
- What the FCA tells us
- Telling your story
- Breaking it down
- SMF duty of responsibility
- Framework example for a senior manager
- What does the evidence look like?
- Summary
Expenses
MBL Seminars Limited
With over 1,000 expert speakers covering more than 3,360 different topics, our course portfolio is vast and can be delivered either online or in-person. With over 450 years of collective professional development experience, we are proud to be trusted to...