Annual Compliance Training - 7 June 2022

Course overview:

Designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations, our annual compliance training focuses on areas which the regulator has been most active and topics that the FCA has indicated are a focus on for the year ahead, including financial crime.

This course looks at some of the key compliance policies and procedures that will be a core part of any compliance regime: from personal account dealing arrangements to conflicts of interest and gifts and entertainment.

It also includes examples of the latest enforcement actions and case studies that will be relevant to a wide variety of firms. The session reminds teams of their responsibilities under the conduct rules.

Course Objectives: 

• A comprehensive refresher of anti-money laundering, anti-bribery and corruption and market abuse responsibilities
• An appreciation of the current obligations on the firm and individuals
• An understanding of the key compliance controls
• An opportunity to benchmark your knowledge and current compliance arrangements
• Comfort that the firm has kept its team up to date and aware of the current compliance topics and challenges

Key topics: 

• Market abuse and insider dealing

• Anti-money laundering and counter-terrorist financing

• Fraud Compliance policies and FCA expectations

• UK regulatory updates & FCA insights

• The senior managers and certification regime

• The FCA’s conduct rules

Course aimed at: All staff