Course description
Compliance in financial services is continuously evolving with a range of regulatory initiatives appearing each year. The financial crash is still having a profound impact on compliance, with the FCA, UK Government and EU still producing measures to ensure the soundness of the market and the fair treatment of customers.
Presented by expert speaker Robert Bell, this live and interactive online course will provide an update on recently implemented and proposed rules so that you are fully up to speed and protected against action from the powerful and pro-active financial regulators. It is ideal for experienced compliance managers and those new to financial services compliance as it explores the main rules and regulations you and your team need to know to meet the expectations of the FCA.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
Compliance in financial services is continuously evolving with a range of regulatory initiatives appearing each year. The financial crash is still having a profound impact on compliance, with the FCA, UK Government and European Union still producing measures to ensure the soundness of the market and the fair treatment of customers. The compliance professional must ensure they are fully versed with recent and upcoming changes.
This new live broadcast session is designed to provide an update on recently implemented rules as well as those proposed by the FCA, UK Government or the European Union so that you are fully up to speed and protected against action from the powerful and pro-active financial regulators.
The session is ideal for experienced compliance managers and those new to financial services compliance as it explores the main rules and regulations you and your team need to know to meet the expectations of the FCA.
What You Will Learn
- This live and interactive broadcast will cover the following:
- Introduction to the FCA and FSMA
- PRIN / TCF
- SYSC
- DISP
- SM&CR
- FCA Business Plan - the regulators priorities over this year
- FCA’s cross sector priorities
- FCA’s sector priorities in the following:
- Investment management (MiFID update)
- Retail lending / banking
- General insurance
- Consumer credit
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...