FCA Compliance Refresher for Investment Firms

The price for this course: £48.00 inc. VAT

This course provides a refresher of key compliance concepts that relate both to the individual‘s employer and to the individual in a personal capacity.

The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.

This module is suitable for anyone that works for a FCA-regulated Investment Firm, aside from Senior Managers (who should instead take the module ‘Compliance Refresher for Senior Managers at Investment Firms’.

Course Outline

The price for this course:

£48.00 inc. VAT

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