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FCA Compliance Induction for Senior Managers at Investment Firms
The price for this course: £48.00 inc. VAT
This course provides a sound knowledge and awareness of key compliance concepts that relate to both the individual’s employer and to the individual as a Senior Manager.
The individual is also given guidance on managing compliance risk, and appropriate courses of action to be taken when encountering compliance issues.
This module is suitable for anyone that starts working in a Senior Manager capacity as classified per the Senior Managers and Certification Regime at a FCA-regulated Investment Firm
Course Outline
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Effective risk mitigation or excess burden?
The relationship between financial services and regulation
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The UK framework
The UK and the financial services sector
Regulatory frameworks
The Financial Conduct Authority (FCA) -
How does the FCA function?
Supervision
Transparency
Enforcement
Rule making
Global aspects
Check your understanding -
The FCA - a principles-based regulator
The FCA Principles and other key regulatory themes
High level principles
What happens when a firm does not follow the Principles?
Linkage between Principles and Rules -
Culture and governance
Introduction
Senior Managers and Certification Regime
Enforcement against individuals -
Conflicts of interest
Introduction
Conflicts involving employees -
Senior management arrangements, systems and controls
What is SYSC?
Elements of SYSC
Conflicts of interest revisited -
Conduct of business
Introduction
Case study: the customer journey
Conflicts of interest revisited -
Resilience
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Financial crime
Financial crime framework
Personal liability
Check your understanding -
How a firm implements the regulatory framework
Lines of defence
Role of the compliance function
Dealing with breaches
Bringing it all togethe -
Quiz
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Conclusion
What you have learnt
Key points
Recap
The price for this course:
£48.00 inc. VAT
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