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Introduction to
FSA Regulation & Compliance
Including Industry Case Studies & Examples of Good Practice
14 - 15 March 2012, London, UK, Venue TBC
Benefit from participating in this unique and comprehensive 2 day FSA regulation and compliance workshop
Specifically, attending this course will help you to:
- Understand FSA Supervision and Enforcement
- Hear how the FSA regulates and what to expect from a themed inspection visit
- Discuss the FSA’s outcome-focused approach and the impact of Treating Customers Fairly (TCF)
- Gain practical insight into the Approved Persons Regime
- Understand the regulatory expectations of Training & Competence (T&C)
- Learn about the Anti-Money Laundering Regime and its practical implications for your firm
- Address the regulatory and legal environment for Financial Crime
- Examine the risk assessment and monitoring tools available, and how to best apply them
- Identify key regulatory risks in the areas of Financial Promotions and Complaints Handling
- Produce useful Management Information that fulfils regulatory requirements
Quote VIP Code: FKM62348AARWB for the 10% discount
Website: http://www.informaglobalevents.com/FKM62348AARWB
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