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TRAINING

Deepening your understanding of complex areas of regulation and best practice standards

We provide FCA compliance and regulatory training courses in house on all the key FCA compliance training requirements. These range from highly interactive discursive sessions, to one to one coaching for Senior Managers and Boards, through to the traditional instructor led presentation.

 

You will find links below to our suggested curriculum for some of our more popular courses which we can adapt to suit your particular needs, including as train the trainer sessions.

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CASS

The FCA's Clients Assets Sourcebook is a cornerstone of the FCA's regulatory regime...

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OUTSOURCING

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Outsourcing is a common way of gaining access to services, technology or efficiency gains...

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NEW JOINERS

The very nature of compliance is becoming more complex, it covers increasingly broad...

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CONFLICTS

The management of conflicts of interest has awalys been one of the key principles...

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MANAGING REGULATORY RELATIONSHIPS

The PRA and FCA expect firms that they regulate to proactively manage their relationship with...

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BESPOKE

We can cover a wide range of other topics on request as well as offering train the trainer...

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MARKET CONDUCT

Good market conduct and commitment to industry codes play a vital role in clean...

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SMCR

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Individual accountability as introduced under the SMCR by the UK Parliament as a direct...

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EVENTS

We often host roundtable events and attend industry events...

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