Open Course Update – Autumn 2017

FSTP, Financial Services Training


As the Summer is drawing to a close and we’re all back to work, it’s a good time to review what has been achieved this year from a training and development perspective, what the gaps are and of course, whether the all essential CPD points have been achieved.

Are you looking to enhance your capabilities in your financial services role? Do you need to get up to speed with the latest regulatory developments? If so, take a look at these key courses we’ve selected for you below. We run courses with limited class sizes to ensure you get the maximum input from your trainer. In addition, all of our consultants have extensive industry experience so they know what’s going on in the professional world and understand the challenges you face in your day to day role. Our courses consistently receive positive feedback from attendees and are continuously developed to ensure that the content is kept up to date.

If you are not able to make any of the dates below but are interested in attending one of these courses, we can also deliver all courses in-house. We are very happy to discuss your requirements; just drop us an email or give us a call:


Tel: 0203 178 4230


Evidencing the Effectiveness of Good Governance October 10

This two hour briefing will ask you one essential question: is your governance structure robust enough?

This course is suitable for Executives / Non-executives, senior managers and Heads of function.

Join us to gain an insight into the regulator’s expectations and pinpoint the responsibilities of individual board members, helping to keep your firm on the path of ethical and compliant profits.

  • Understand governance standards and the principles that drive them
  • Consider the requirements for PLCs and how to reflect them ‘proportionately’
  • Determine whether your board/committees have the right structure
  • Review your terms of reference
  • Recognise the responsibilities of each board member
  • Learn how to handle the appointment process or sudden departures

Course details and booking here.


Product Management & Governance October 18

The regulator has exposed serious weaknesses in the way some financial services firms approach product design and governance. It has urged businesses to introduce rigorous stress testing to prove the value of products, and to give clearer information to the customer about the risks involved. No one can afford to be out of step with the latest regulations. This intensive one-day course has been designed for: staff with compliance functions and employees needing to ensure regulatory standards are met.

In this interactive one-day course you’ll learn how to truly place your customer at the heart of your product policies and develop the framework that allows you to prove to the FCA you did so.

  • Get the latest FCA position on this issue
  • Through case studies identify the risks of an informal and unstructured approach to product management
  • Learn what information should be considered when making product decisions
  • Appreciate the importance of involving consumers in the process
  • Identify the risks and controls that any framework should encompass
  • Establish a governance framework for key decisions
  • Understand the responsibilities of the 1st, 2nd, and 3rd levels of defence in product management
  • Learn how to involve affected stakeholders and convince them to take action

Course details and booking here.


Professionalism & the suitability of advice October 19

Client file management matters a great deal and the FCA expects you to be able to demonstrate the advice you offer is suitable. You need to make sure suitability is not only evidenced in client files but can also be demonstrated across your business. While there has been some improvement in recent years (due to their focus on suitability), the FCA still routinely uncovers poorly documented client files causing potential reputational damage.

This in-depth workshop will show you how to best evidence suitability and demonstrate that you’re in complete control of client records. Key elements we cover include the following:

  • Learn what level of Know Your Customer is required
  • Check whether your firm is correctly evidencing and demonstrating suitability
  • What do advisers and investment managers need to do to demonstrate suitability (including risk profiling)
  • Identify the systems and controls your firm needs to assess suitability

Course details and booking here.


Negotiating, Influencing & Persuading in Financial Services November 8

This is a highly practical and interactive workshop, led by an expert in communication. The group size is a maximum of 14 so that you have the opportunity to debate and explore how techniques you will learn can be used in real life, and also derive the maximum personal feedback to fuel your development.

The best negotiators are subtle, fair and know what to give away, when to make demands and how to compensate when there are difficulties. They achieve lasting results and gain real commitment from people.

Attending this course will enable you to:

  • Learn the communication tools of persuasion
  • Explore the techniques of negotiation and how to plan your approach
  • Use the power of questioning and listening to find ways forward
  • Uncover and “sell” the benefits of your viewpoint
  • Gain genuine agreement rather than a superficial – yes
  • Understand how to recognise different styles for communication – and how to adapt your own style
  • Have better relationships with business areas
  • Achieve improved outcomes for customers and the business

Course details and booking here.