Compliance Basics

£380 per delegate. This may be less for special offers on specific course dates and in-company training courses

Duration: 1 day

Trainer: P062EI

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Compliance Basics.

This course aims to give a good basic understanding of the FSA regulatory regime, its aims and its application to the employees of FSA regulated firms.

It is a practical course drawing on examples and case studies to illustrate how the rules work and their practical application.

This is an ideal course for staff who are new to the industry or for all those moving into a Compliance role.

The course may also be used as a tool to demonstrate training and competence under the FSA T
& C regime.

- Employees of financial services companies who need to understand basic Compliance.
- New employees in FSA regulated Financial Service companies.
No prior knowledge is assumed.

What is Compliance ?
- The UK Regulatory Environment
- The Financial Services and Markets Act 2000
- The Financial Services Authority - Role and Scope
- The FSA Handbook

The FSA Handbook
- MiFID Impact
- High Level Principles for Firms and Individuals
- Code of conduct for approved persons
- Senior Management Systems and Controls
- Conduct of Business Rules
- Client assets

Client Classification
- Types of Client
- Different Rules for Different Types of Client

Insider Dealing
Market Manipulation and Market Abuse
Money Laundering
UK and EU Regulation
FSA Money Laundering Sourcebook
Training and Competence Sourcebook
Regulatory Processes
In House Compliance Arrangements 
The Compliance Function


The course either has new dates in data loading, or is only run as a dedicated or In Company course.
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01933 233884

(Monday to Friday - 8:00am to 5:30pm).

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