Category Archives: Compliance Training

Directors and/or Partners Responsibilities and Further Training

Board of Directors – Understanding and Further Training?

compliance consultants london-director-training
Is it evident that the Directors understand:-
  • Directors’ liabilities and corporate governance
  • What is a company? What can it do?
  • What is a director? Types of director
  • Director’s responsibilities (SMCR & 
  • Internal governance
  • Corporate administration
  • Financial difficulties and investigations
  • General duties
  • Promoting the success of the company
  • Embedding duties
  • Reasonable steps (SMCR – See DEPP 6.2.9-E)
  • Legal context
  • Duty to act in good faith and with due care
  • Conflicts of interest
Are there plans to enhance the board by:-
  • What will you do to improve your approach to governance and your role as a director?
  • What will be different about your next board meeting?
  • Board maturity
  • What do performance and success mean to your board?
  • Are there key messages / assumptions you need to challenge?
  • Do you have adequate succession plans in place?
  • What are your board’s future and legacy issues?
  • Action plans
  • Turning rhetoric into reality
  • Starting conversations to develop board and senior management team insight
  • Evaluating board and senior management effectiveness
  • Improving information flows between the board and the senior management team

If you need to create, review or execute your Governance. Risk or Compliance strategy, call us today on 0207 097 1434 or email

This guide is only an aide memoire and intended for information only for anyone appraising the documentation needed in an audit/compliance check. It is not to be considered as direct advice or intended to replace specific 1 to 1 engagement with your compliance and risk professional.

Compliance Support Services Explained

Once your organisation has accomplished authorisation, you’re dedicated to satisfy a variety of on-going FCA compliance responsibilities. Companies either pick our consultancy services to help resolve specific issues or to handle the effect and impact of new policy or we tailor a retainer agreement to satisfy their particular continuous requirements.

Retainer agreement
Our extremely skilled group of compliance specialists have market and regulatory backgrounds supplying an unique mix of skillsets and giving you the confidence that your continuous regulatory responsibilities will be satisfied to a high expert requirement.

With retainer service contracts separately tailored to your organisation we provide an agreed service delivery and schedule. Having operated in your sector, our professionals understand your compliance obstacles and opportunities. They share their backgrounds and understanding to solve issues; so you reap the benefits of a unique sum total of competence.
Supplying you with budget certainty and on-demand access to an extremely trustworthy compliance partner and a topic expert panel, usually, our retainer contracts include:
  • Compliance management; setting up and your Compliance Monitoring Programme, including automating it if required.
  • Compliance audits; independent bench-mark reviews and health-checks to make certain your systems, controls, policies and regulatory procedures are kept up to date
  • Documents/Governance; such as policies and written processes or procedures
  • Financial promotions including initial reviews and ongoing assessments or critiques, including video and social media marketing
  • Training; e.g., informing personnel on anti-money laundering or assisting senior management create a suitable governance framework
  • Regulatory reporting; consisting of GABRIEL returns and evaluation of prudential requirements
  • For Payment Services companies based on PSD2, we provide distinct service plans particularly created satisfy the increased regulatory needs and responsibilities.
  • And Capital Market companies gain from a specific methodology which permits us to craft a bespoke, flexible assistance package
  • Companies fall into the Asset Management, Broker Dealers & Traders, Corporate Finance, Crowdfunding, FinTech, Infrastructure, Investment Management, P2P Lending, Private Equity, Venture Capital and Wealth Management can all benefit from individual; and tailored packages.

Contact us today on 0207 097 1434 or email

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    SAR Workshop and Adverse Media Risk Assessments

    Subject Access Reports Workshop and Adverse Media Risk Assessments for business and recruitment.

    sar adverse social media risk based approach

    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 act of when, and when not, to file a SAR.

    • This includes decision-making methodologies that you can apply enterprise-wide; separating anomalies from red flags; and how to replace subjective judgment calls with clearly objective determinations.

    • Your course director is a highly successful and experienced executive who will pass on past experiences and “war stories” generally to enhance the workshop and help bring it to life

    • We do not use academics. All our trainers are highly experienced professionals with relevant vocational experience in the real world

    • We have delivered many AML and financial crime courses over the last few years and have a very clear understanding of what may be contributing to the fraud. In addition, participant feedback informs us in both a precise and timely manner what the changing regulatory imperatives are over time.

    • We are always judged by our results which speak for themselves and the feedback received from previous delegates has always been excellent.

    • It’s a can’t-miss tutorial on a lingering compliance conundrum.

    Course Objectives

    •  Establishing review/risk committees to ensure consistent escalation practices

    •  Ensuring you know when and when not to make a Suspicious Activity Report

    •  What to include in a local SAR

    •  Rating suspicious activities to assure conformance to institutional standards like the The FATF 40 Guidelines

    • The categories and areas of concern under NLR 2017

    • Where Suspicious Activity is identified, and the Red Flags raised

    • What Social Media checking is available and why Search Engines are not enough

    • Where to find other sources of intelligence to help your decision making

    Course Content



    Session 1

    • Local SAR Reporting
    • MLRO’s Role in SAR Evaluation
    • FATF and the 40 Guidelines
    • MLRO completion of a SAR
    • When, and when not, to file a SAR.

    Session 2

    • Difference between Suspicious Activity & Suspicious Transactions.
    • 5 Categories and 27 Areas of Concern under MLR2017
    • 10 Banking Areas that raise suspicions
    • 19 Red Flags for Property AML/CTF
    • Where are Suspicious Transactions identified?
    • CDD & EDD Monitoring – MLR 2017 S33, 37 & 38

    Session 3

    • Adverse Social media – Facebook, Insta, Twitter etc
    • Other sources of adverse media/intelligence
    • 3 Areas of search for Adverse Media
    • 5 Best Practices for Adverse Media Checks

    Session 4

    • 7 Best Tools For searching for social media accounts
    • Workshop – Suspicious Activity Scenarios

    Course Conclusion



    Your Course Facilitator/Director Backstory

    Your course director has spent over 30 years in the banking and financial sector, much of it in a Senior Managerial/Director role. A highly successful, long and varied “fast track” career in Banks led him to very senior management at an early age. Challenged by the industry reluctance to adopt regulated principles, he entered compliance 20 years ago and has run a successful consultancy ever since.

    The trainer has been a freelance training consultant since 2000 and is an expert on FCA and regulatory compliance generally. As a Chartered FCSI he has also created and delivered training to a vast range of clients from global giants to small partnerships. He is an accomplished global trainer and has delivered extensive programmes in the UK, Europe, Africa, and the Middle East.

    He is a highly adaptive, hands-on and highly sought-after facilitator who always receives excellent feedback from delegates. He is comfortable training at any level of seniority and experience from “black belts” to novices. His expertise includes but is not limited to Regulatory Compliance, Risk Management, Trade Finance, FCC & AML and all aspects of Corporate, Private & Retail Banking.

    He has written several books, available at Amazon including “The Compliance Managers Guide & Reference” and “Conduct Risk”.

    He is also a highly experienced soft skills trainer and has completed numerous “train the trainer” assignments.

    Online Courses you may be interested in

    SMCR For Limited & Core Firms – Click on this link =>

    Digital Onboarding for Fintech Firms – Click on this link =>

    Need a Compliance Manual? Our Top-selling Template is available HERE

    Need an AML & CTF Policy and procedures template? Our Top-selling Template is available HEREaml template fca mlr2017












    This Course Can Be Presented In The Following Formats:


    Public Course

    Future Dates Not Yet Available


    Face to Face In-House


    This course can be tailored and presented in-house at your location for 3 or more participants.


    From £850


    Live In-House Webinar


    This course can be tailored and presented exclusively via live webinar for your company for a group of participants. Participants are given a link and login and the trainer presents the course to a maximum of 20 participants.

    Participants can login from different offices.

    From £850


    Pre-Recorded In-House Webinar


    The trainer records the course exclusively for your company – in one session or in “bite-size” video files. We provide access to our Proprietary Online System, the whole course as a pdf and any supporting course materials for an agreed amount of time (6 or 12 months) for any number of participants up to 5,000.

    From £3,000

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