Compliance Induction - 28 June 2022

Course overview:

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”. 
 
This course is designed to assist Senior Management to embed a compliance ethos in the individual and a strong compliance culture throughout the firm. 

Course Objectives: 

• A sound knowledge of the UK Regulatory Environment 
• An understanding of the reason for policies and procedures 
• The ability to evidence a risk based approach 
• An understating of the obligations on firms to develop a strong compliance culture 
• Knowledge of what can happen if you do not “do the right thing” 

Key topics: 

• The UK Regulatory Environment  
• High level business standards 
• Personal obligations 
• Systems and Controls 
• An introduction to the Conduct of Business Rules 
• Financial Crime Prevention 
• Examples of Enforcement action on firms and individuals 

Course aimed at: any individuals who are working or are seeking to work in a regulated environment.