60 Minute Briefing - AML Update for Directors and Senior Managers
|
In-House Only
|
60 Minute Briefing - Fraud Prevention Update for Directors & Senior Management
|
In-House Only
|
60 Minute Briefing - Senior Management responsibilities under FSA Rules (SYSC) for Directors and Senior Managers
|
In-House Only
|
60 Minute Briefing: Approved Persons
|
In-House Only
|
90 Minute Briefing: PEPs and Sanctions
|
None scheduled
|
AML Training - For All Staff
|
22/02/2012
14:00 - 17:00
|
AML Training - For All Staff - Refresher
|
04/04/2012
09:30 - 11:30
|
AML Training for Legal Professionals
|
None scheduled
|
AML Training for Legal Professionals - Refresher
|
None scheduled
|
AML: Client Take On - Risk Based CDD
|
In-House Only
|
Authorisation and Approved Persons
|
In-House Only
|
Best Execution Workshop
|
In-House Only
|
CISI - Certificate - Commodity Derivatives
|
In-House Only
|
CISI - Certificate - Derivatives
|
In-House Only
|
CISI - Certificate - Financial Derivatives Module
|
In-House Only
|
CISI - Certificate - Investment and Risk
|
In-House Only
|
CISI - Certificate - Securities
|
In-House Only
|
CISI - IAQ - Asset Servicing
|
In-House Only
|
CISI - IAQ - Collective Investment Schemes
|
In-House Only
|
CISI - IAQ - CREST Settlement
|
In-House Only
|
CISI - IAQ - Exchange Traded Derivatives Administration
|
In-House Only
|
CISI - IAQ - Foundation Qualification : Introduction to Investment
|
In-House Only
|
CISI - IAQ - Global Securities Operations
|
In-House Only
|
CISI - IAQ - Introduction to Securities and Investments
|
In-House Only
|
CISI - IAQ - ISA and CTF Administration
|
In-House Only
|
CISI - IAQ - IT in Investment Operations
|
In-House Only
|
CISI - IAQ - Operational Risk
|
In-House Only
|
CISI - IAQ - OTC Derivatives Administration
|
In-House Only
|
CISI - IAQ - Private Client Administration
|
In-House Only
|
CISI - IAQ or Certificate - FSA Financial Regulation
|
In-House Only
|
CISI - IAQ or Certificate - Principles of Financial Regulation
|
In-House Only
|
CISI - IFQ - Islamic Finance Qualification
|
In-House Only
|
CISI - IOC/IAQ - Combating Financial Crime
|
06/03/2012
09:30 - 17:30
|
CISI - IOC/IAQ - Global Financial Compliance
|
14/02/2012
09:30 - 17:30
|
Client Assets Workshop
|
In-House Only
|
Client Categorisation Workshop
|
In-House Only
|
Compliance Monitoring
|
None scheduled
|
Compliance Skills - Writing an effective Compliance Report
|
22/03/2012
14:00 - 17:00
|
Conflicts of Interest Workshop
|
In-House Only
|
Data Security in Financial Services Firms
|
In-House Only
|
Financial Promotions Workshop
|
08/02/2012
09:30 - 12:30
|
Fraud Prevention Training for All Staff
|
In-House Only
|
Fraud Prevention Training for Investigating and Prevention Officers
|
In-House Only
|
FSA Compliance ... and The Bribery Act!
|
None scheduled
|
FSA Compliance Workshop : Managing management misconduct : Practical Prevention and Remedies
|
None scheduled
|
Introduction to FSA's Conduct of Business Rules
|
22/02/2012
09:30 - 11:30
|
Introduction to the UK regulatory environment
|
21/02/2012
09:30 - 12:30
|
Managing Legal Risk
|
In-House Only
|
MLRO - Refresher Training
|
28/02/2012
09:30 - 12:30
|
MLRO - Introduction to the Role
|
29/02/2012
09:30 - 17:30
|
MLRO Report Writing - Producing the MLRO report to senior management
|
26/04/2012
09:30 - 12:30
|
MLROs in legal firms
|
None scheduled
|
New Applicants
|
None scheduled
|
Operational Due Diligence for Hedge Funds
|
In-House Only
|
Outsourcing Workshop
|
In-House Only
|
Preparing for an FSA ARROW II Visit
|
In-House Only
|
Principles Based Regulation in Practice
|
In-House Only
|
Quarterly Regulatory Roundup
|
None scheduled
|
Regulating Retail Banking
|
In-House Only
|
Regulatory Induction - 1 Day Regulatory Induction Programme
|
None scheduled
|
Senior Management Responsibilities under FSA Rules (SYSC)
|
21/02/2012
14:00 - 17:00
|
Senior Management with Delegated AML Compliance Responsibilities
|
In-House Only
|
Suitability and Appropriateness: Avoid Mis-selling
|
16/02/2012
09:30 - 12:30
|
The Market Abuse Regime
|
In-House Only
|
The Role of the Compliance Officer
|
23/02/2012
09:30 - 17:30
|
Training & Competence Obligations
|
In-House Only
|
Transaction Reporting (Record Keeping) Workshop
|
In-House Only
|
Treating Customers Fairly (TCF) - The Sixth Principle
|
In-House Only
|
No Courses in basket
