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Risk Based Compliance Monitoring under the FCA (Live Online) - In House Training
Corporate Training Partnerships
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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...
Achieving an Effective & Efficient 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
Although the FCA has been conducting CASS audits for several years at this point, firms still face many challenges whilst...
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,...
CeMAP Certificate in Mortgage Advice (Modules 2 & 3)
e-Careers Ltd
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Professional Training
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From 208 GBP
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Online
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Virtual Classroom, Self-Paced Online
UK mortgages are regulated by the Financial Conduct Authority (FCA), so individuals looking to provide mortgage advice legally, must first...
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...
CeMAP Certificate in Mortgage Advice (Modules 2 & 3) - Virtual Classroom
e-Careers Ltd
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Professional Training
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From 479 GBP
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Online
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Virtual Classroom, Self-Paced Online
CeMAP training is a mark of excellence and highly recognised within the Mortgage Advice sector. They allow individuals to give...
Embedding a Strong CASS Culture & Governance
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
A common theme across firms which have been fined for CASS failings is weak CASS culture & governance. This theme...
Best Execution (Live Online)
Corporate Training Partnerships
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Professional Training
4.8
(20)
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This course results in CPD hours
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From 475 GBP
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Online
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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...
Market Abuse: Themes, Hot Topics and Trends
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
Market abuse refers to the unlawful behaviour of one or more participants in the financial markets which compromise the market's...
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...
Meeting Your Responsibilities as a Senior Manager (Public Course)
Corporate Training Partnerships
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Professional Training
4.5
(6)
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From 445 GBP
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Online
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Virtual Classroom
Ever since assuming their powers in 2013, the PRA and FCA have clearly signaled, and acted upon, their intention to...
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...
Embedding CASS Culture through Robust Governance
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
Focussed across the lines of defence, this workshop aims to provide a practical and in-depth knowledge base around what CASS...
IMC Unit 1
BPP Professional Education
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Professional Training
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From 600 GBP
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Multiple (2)
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Classroom, Virtual Classroom
The Investment Management Certificate (IMC) opens doors in the investment industry and teaches you to be fluent in the language...
IMC Unit 2
BPP Professional Education
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Professional Training
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From 800 GBP
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Multiple (2)
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Classroom, Virtual Classroom
The Investment Management Certificate (IMC) opens doors in the investment industry and teaches you to be fluent in the language...
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...
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...
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