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FCA Consumer Duty
Eureka Financial
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Professional Training
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From 850 GBP
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29/11/2024
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Multiple (2)
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Virtual Classroom, In Company
This practical 1 day virtual live course is delivered by a senior financial services professional with over 20 years of...
CASS - Managing Client Money and Assets
Eureka Financial
|
Professional Training
5.0
(4)
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From 850 GBP
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10/10/2024
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Multiple (3)
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Classroom, Virtual Classroom, In Company
The main objective of the CASS regulation is to provide adeqate protection for clients. The FCA set up high expectations...
Foundation in FCA Regulation
Corporate Training Partnerships
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Professional Training
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From 745 GBP
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Multiple (3)
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Classroom, Virtual Classroom, In Company
This focused course will provide a clear and easily digestible overview of the new FCA regulatory framework (touching also on...
Foundation in FCA Regulation (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
This focused course will provide a clear and easily digestible overview of the new FCA regulatory framework (touching also on...
Risk Based Compliance Monitoring under the FCA
Corporate Training Partnerships
|
Professional Training
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From 745 GBP
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Multiple (3)
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Classroom, Virtual Classroom, In Company
Today, Compliance managers are under more pressure than ever to make sure they are targeting risks, and resources, as effectively...
Understanding The New Consumer Duty for FCA regulated Firms (Public Course) - 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
With the FCA's Consumer Duty coming into force on 31 July this year, staff need to be ready and on...
Board Reporting for FCA and Dual Regulated Firms (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 Boards of financial institutions are under increasing pressure to respond to difficult questions about how they provide oversight over...
Board Reporting for FCA and Dual Regulated Firms (Public Course) - 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 Boards of financial institutions are under increasing pressure to respond to difficult questions about how they provide oversight over...
Getting CASS Right | Leading from the Top
FourthLine Learning
|
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...
Risk Based Compliance Monitoring under the FCA (Live Online) - In House Training
Corporate Training Partnerships
|
Corporate Training for Teams
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This course results in CPD hours
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Multiple (2)
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Virtual Classroom, In Company
Today, Compliance managers are under more pressure than ever to make sure they are targeting risks, and resources, as effectively...
Cyber Risk & Security and the FCA: A primer for Compliance and Risk staff
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
Cyber risk management and security are generally accepted to existential risks for all financial services firms, but are often left...
Conduct Rules and the Consumer Duty - Best Practice Approaches
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
With the Consumer Duty implemented from 1st August, it is imperative that all staff throughout the organisation are fully aware...
Market Abuse: Themes, Hot Topics and Trends
Corporate Training Partnerships
|
Professional Training
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From 445 GBP
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Multiple (2)
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Virtual Classroom, In Company
Market abuse refers to the unlawful behaviour of one or more participants in the financial markets which compromise the market's...
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...
Artificial Intelligence (AI) and FCA Compliance: A primer for Compliance, Risk and Internal Audit
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
Artificial Intelligence ("AI"), or more specifically Machine Learning, Data Science and Neural Networks have come to the fore with the...
Embedding CASS Culture through Robust Governance
FourthLine Learning
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Corporate Training for Teams
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Nationwide
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In Company
Focussed across the lines of defence, this workshop aims to provide a practical and in-depth knowledge base around what CASS...
Implementing and Embedding Senior Managers & Certification Regime in the Retail Banking Sector
FourthLine Learning
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Corporate Training for Teams
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Nationwide
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In Company
The Senior Managers & Certification Regime (SM&CR) came into effect for retail banks from December 2016. It replaced the existing...
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...
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