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Preparing for your FCA Visit
Corporate Training Partnerships
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Professional Training
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From 445 GBP
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Multiple (2)
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Virtual Classroom, In Company
The UK financial services industry faces ever more intrusive regulatory scrutiny and tougher penalties for failures to comply. The FCA...
Creating an Effective ICARA: a practical Guide for Investment Firms
Corporate Training Partnerships
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Professional Training
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From 745 GBP
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Multiple (2)
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Virtual Classroom, In Company
The Investment Firms Prudential Review has replaced the ICAAP with the ICARA (Internal Capital and Risk Assessment) under which all...
Guide on how to manage compliance to REACH within your company.
University of Greenwich
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Short University Courses
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From 420 GBP
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Chatham
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Classroom
REACH is a European Union regulation concerning the Registration, Evaluation, Authorisation and restriction of Chemicals. It came into force on...
Financial Services Regulation for HR Specialists
Corporate Training Partnerships
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Professional Training
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From 745 GBP
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Multiple (2)
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Virtual Classroom, In Company
This focused workshop has been designed primarily for human resources specialists. It is intended to explain the implications of working...
Third Party Oversight and Best Practices
FourthLine Learning
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Corporate Training for Teams
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Nationwide
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In Company
Regardless of any delegation of CASS functions to third parties (offshored or outsourced), the firm remains absolutely responsible for their...
Introduction to Customs Procedures
Strong & Herd LLP
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Professional Training
5.0
(2)
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From 265 GBP
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Multiple (2)
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Virtual Classroom, In Company
A more detailed look at UK customs procedures in full. Following the UK's exit from the EU, greater emphasis is...
Encouraging CASS Compliant Organisations through Regulatory Awareness and Technical Know-how
FourthLine Learning
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Professional Training
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From 1,400 GBP
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London
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Classroom
This course is an in-depth 2-day workshop which aims to cover all the key areas impacted by CASS and how...
Technology Solutions for CASS Challenges
FourthLine Learning
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Professional Training
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From 799 GBP
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London
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Classroom
This workshop looks in detail at the importance of developing reliable data sources and being able to access and utilise...
Specifications and interpreting results
University of Leeds
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Short University Courses
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This course results in CPD hours
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From 325 GBP
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Leeds
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Classroom
This one day course will help you understand the compilation and interpretation of product specifications and why they are needed....
Tackling Financial Crime Through Integrated KYC and AML Techniques
FourthLine Learning
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Corporate Training for Teams
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Nationwide
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In Company
Leading financial institutions are rethinking their organisational structures to manage financial crime risk more effectively. The integration of and alignment...
Getting CASS Right | Leading from the Top
FourthLine Learning
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Professional Training
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From 1,600 GBP
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Multiple (3)
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Classroom
With continued focus from the FCA and the ever-expanding scope of the Senior Managers’ and Certification Regime (SMCR), the importance...
Technology Solutions for CASS Challenges
FourthLine Learning
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Corporate Training for Teams
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Nationwide
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In Company
This workshop looks in detail at the importance of developing reliable data sources and being able to access and utilise...
Best Execution (Live Online) - In House Training
Corporate Training Partnerships
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Corporate Training for Teams
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Multiple (2)
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Virtual Classroom, In Company
The FCA rules, guidance and ‘standards’ for Best Execution have been in place since the MiFID era and updated in...
Bank Regulation: Impact and Implications of Evolving Regimes
Moody's Analytics
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Professional Training
4.5
(8)
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Intermediate level
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From 1,795 GBP
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Multiple (2)
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Classroom
The 2008 financial crisis and subsequent bank failures led to major global regulatory change. This two-day course introduces the architecture...
The Extension of SM&CR and the Impact on Senior Management
FourthLine Learning
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Professional Training
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From 1,600 GBP
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London
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Classroom
The extension of the Senior Managers and Certification Regime (SM&CR) to investment firms in December 2019 represents a major overhaul...
Client Money & Assets (the CASS Regime) - Identify, Assess & Reduce Risks
BPP Professional Education
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Professional Training
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From 650 GBP
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05/12/2024
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Multiple (2)
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Classroom, Self-Paced Online
Overview How client money and assets are handled by FCA-regulated firms is a core focus for the Financial Conduct Authority,...
Money Laundering & The Bribery Act
BPP Professional Education
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Professional Training
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From 455 GBP
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Multiple (2)
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Classroom, Virtual Classroom, Self-Paced Online
Overview Money Laundering and Bribery are two key areas for solicitors, requiring compliance with legislative and professional guidelines. Compliance with...
Managing & Controlling Your CASS Audit
FourthLine Learning
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Professional Training
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From 799 GBP
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London
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Classroom
This course will provide participants with the knowledge, skills, ideas and frameworks to improve the proactive management and control of...
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