Category Archives: Training

Treating Customers Fairly & Conduct Risk Course

Business conduct is in a bright and unforgiving spotlight. Treating Customers Fairly is not dead, it compliments the Conduct Risk agenda. Although much has been said about Conduct Risk from the regulatory perspective, less has been done to help firms address the issue coherently. In the absence of anything prescriptive from the FCA, firms need to define what conduct risk means for their business and determine how to take positive action to address this risk. While the primary driver for seeking the effective management of conduct risk is to secure commercial success, there are additional pressures stemming from the ever higher standards being demanded by regulators, both nationally and internationally.

Fraud including Credit Card Fraud and Suspicious Transactions Course

Fraud including Credit Card Fraud and Suspicious Transactions Course Complete the form below to contact us! What Makes Compliance Consultant Courses Different We have been delivering training for over 20 years and this is one of our core competencies. We believe we are experts on this topic and having delivered training to a wide range […]

SAR Workshop and Adverse Media Risk Assessments

Subject Access Reports Workshop and Adverse Media Risk Assessments for business and recruitment. Complete the form below to contact us! What Makes Compliance Consultant Courses Different Failure to file an appropriate SAR can lead to big trouble. But regulators also caution against filing unwarranted “defensive” SARs.  Our experts provide practical advice for the high-wire balancing […]

Online Senior Managers & Certification Regime Compliance Course Available For Core-Limited Firms

We have extensive experience in training senior managers and other staff who are subject to the SM&CR (SMCR) and we have developed a range of training solutions to suit a wide variety of requirements. You will also gain access to a unique discount in our special offer promotion for a valuable aid to your implementation planning.

KYC and AML – Suitable for all firms with AML responsibilities

The UK is among the world’s largest and most open economies, whose strength is based on extensive and productive relationships around the world. Government Ministers have the responsibility for national security and financial services, so they want the UK to continue to be a desirable country for legitimate business and a leading global financial centre. But they also recognise that the UK’s openness and standing as a global financial centre exposes it to the risk of illicit financial flows.

AML – New Entrant Programme – Suitable for all firms with AML responsibilities, i.e. Estate Agents etc

The UK is one of the world’s largest and most open economies, whose strength is built on extensive and productive relationships across the globe. Ministers have the responsibility for national security and financial services, so they want the UK to continue to be an attractive country for legitimate business and a leading global financial centre. But they also recognise that the UK’s openness and status as a global financial centre exposes it to the risk of illicit financial flows.

SMCR Project Plan – Buy The Product

Extension of the SMCR to all financial services firms As we all know, the Treasury has directed the FCA to extend the Senior Managers & Certification Regime (SMCR) to all financial services firms in the UK. Many firms have still not started to prepare for their SMCR deadline of 9th December 2019.  Jonathan Davidson, Executive […]

Senior Managers Regime Explained

The FCA is tightening up its individual conduct rules, replacing the current Approved Persons Regime with the Senior Managers and Certification Regime (SMCR). SMCR regulation is complex and so in this SMCR guide course we explain the changes to the FCA Handbook and what you need to do to comply. You also have the opportunity of purchasing our SMCR 90+ Project Plan with a 50% discount.

PSD2 Regulatory Technical Standards – A Practical Guide

PSD2 Regulatory Technical Standards – A Practical Guide & Workshop A ½ Day Course The PSD2 Requirements for SCA from September 2019 onwards   What Makes This Course Different? We have been delivering training for over 20 years and this is one of our core competencies. We believe we are experts on this topic and […]

SFTR NOW – Securities & Financing Transaction Reporting Final Countdown

SFTR Transaction Reporting- A Practical Guide A ½ Day Course   ESMA Technical Standards and Requirements. What Makes This Course Different? We have been delivering training for over 20 years and this is one of our core competencies. We believe we are experts on this topic and having delivered training to a wide range of […]