Between 2017 and 2018 three industry codes were published each replacing elements of the NIPs code. All three have since been recognised by the UK regulators who are encouraging firms to commit to these codes. There are now five industry codes with some form of regulatory backing. What are they are and why would you want to commit to them?
This training pack allows you to train your fellow compliance colleagues as well as your front office, sales, trading and dealing desks on each of these codes. Taking delegates through what each of these codes cover through to the benefits of industry codes and tips on implementation.
The materials assume limited knowledge about industry codes, the FCA and market abuse. It deliberately avoids using regulatory references and explains key regulatory terminology in a business context so that it is comprehensible to those outside of regulation and compliance.
The speaker's notes are written as a verbatim script you can read word for word and deliver a good quality session.
The slides use basic Microsoft PowerPoint objects and colours that are editable. So you could easily apply your corporate branding or PowerPoint formats. The slides in this masterclass also include some colourful diagrams and images using Microsoft PowerPoint SmartArt to make the training more accessible to your audience.
The training pack comprises 13 slides and covers:
- What are they
- What exists
- Regulatory status
- Committing to codes
- What you have to do differently
- Implementation tips
Slides and speaker notes are fully editable by you with standard MS Office fonts and graphics.
The pack should be relatively straightforward for someone outside the UK, and not familiar with the UK regime, to follow and deliver. A train the trainer session can be booked separately by completing a Training Request.
Industry Codes Training Slides and Script
This file is in Microsoft PowerPoint Presentation (*.pptx) format. It is also available from our store in PowerPoint 97-2003 Presentation (*.ppt) format.