This course provides a practical introduction to FSA regulation, with a focus on current high risk areas such as TCF, Financial Crime, Approved Persons, etc. The programme is designed for those who are new to Compliance or Regulatory Risk or have little experience in these areas. It will also benefit Senior Managers looking for a practical introduction or a refresher on FSA regulation and compliance.
The programme is designed for those who are new to Compliance or Regulatory Risk or have little experience in these areas. It will also benefit Senior Managers looking for a practical introduction or a refresher on FSA regulation and compliance. This course will not focus on any specific sector, but will be of value to individuals across the financial services industry.
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 requirement |
