Course description
Compliance failures are often put down to staff competence, or a lack of it. High profile cases have uncovered chief execs operating with no knowledge of the latest regulation. The FCA has sharpened its focus on training and competence (T&C) as a result.
You must be able to prove (to an intrusive regulator) that your T&C policies mitigate risk and promote professionalism.
This is about more than just compliance. It is about genuinely improving business standards. A good T&C programme helps your firm retain its best staff and attract new talent. A poor one can expose your business to accusations of misconduct and financial penalties.
Upcoming start dates
Outcome / Qualification etc.
- Understand the regulator’s mind-set and the practical applications of T&C
- Learn how to assess and maintain competence on a continuous basis
- Recognise the role of the regulated supervisor and apply it to senior managers and directors
- Integrate compliance best practice into your business strategy
Training Course Content
- The impact of higher standards of professionalism
- Demonstrating competence in a changing regulatory environment
- Reviewing policies and identifying improvements
- Ensuring competent supervision
- New CPD requirements: rising to the challenge
- Statements of Professional Standing (SPS)
Course delivery details
All courses can be delivered ONSITE, ONLINE or BLENDED to suit your distinct requirements.
Whether one-to-one or group deliveries, entry level or boardroom executives, are consultants are here to develop a programme to meet your specific business needs.
Simply contact us to discuss your requirements.