Upcoming FSTP Open Courses

FSTP, Financial Services Training, Reulation and Compliance TrainingIf you are planning which type of training you are going to need after your summer holidays, why not take a look at a selection of upcoming FSTP courses that are sure to get you back on track.

Please feel free to get in touch with any questions you may have about these courses or what else is coming up. There’s a link to further information and booking below each course summary. These open courses are also available to you as in-house workshops at your convenience.

 

Culture and Ethics – September 5

As a senior manager or higher, it’s the responsibility of your firm to create a culture that minimises conduct risk. Changing corporate culture is difficult (and the stakes of getting it wrong are high). At FSTP we understand the challenges and issues you will be facing and will be able to navigate you through this complex territory. Join us for this fast-paced two-hour briefing which will provide the knowledge you need to get the job done. The areas covered will show you how to:

  • Better analyse your firm’s culture and how it’s influencing conduct risk
  • Gain a firmer grasp of the regulator’s position
  • Recognise the driving forces of different business cultures
  • Spot the positive and negative indicators the regulator is looking out for
  • Understand which communication styles work in which culture
  • Use examples of ethical dilemmas and learn how to solve them
  • Identify the elements that stabilise (and destabilise) cultures
  • See how the regulator is trying to change the industry

Who is this course for?

This informative, two-hour briefing has been designed for:

  • Senior managers
  • Board members
  • Staff in leadership roles
  • Heads of function

Details and booking

 

The Senior Managers Regime – The implications for firms – September 19

If you speak to anyone in the Banks, Building Societies, Credit Unions or Designated Investment firms who were involved in the implementation of the Senior Managers Regime they will tell you “it took far longer than we estimated it would”.

Attending this two hour briefing will give you an overview of what the regulator requires of Senior Managers and what this means to the firm as a whole. There are a number of key considerations and actions that need to be completed – this briefing highlights what they are, your responsibilities and what needs to be done before 2018.

Who is this course for?

  • Heads of Compliance
  • Heads of HR
  • Heads of T&C
  • Senior Managers

Details and booking

 

Demonstrating and Evidencing Suitability – September 20FSTP, Financial Services Training, Suitability of advice

Consumer protection is one of the regulator’s top priorities which is why we have designed this course to address those needs. The FCA’s recent suitability review flagged a number of issues which you need to consider. Among the most common are hidden fees, and investment portfolios that do not reflect the risk appetite, experience or financial situation of the customer. Firms were also pulled up on holding out-of-date client information.

Your firm needs to show it has put stringent tests and controls in place to build a customer’s risk profile. You’ll also need to assess a client’s capacity for loss before you can determine the level of risk they are willing and able to take. We will steer you through this over the one day course which has a packed agenda.

Who is this course for?

This thorough one-day course has been designed for:

  • Employees providing suitable advice
  • Staff tasked with assessing the suitability of advice
  • Anyone involved in reviewing suitability assessment systems and controls

Details and booking

 

Managing T&C in a Changing Regulated Environment – September 27

The FCA has sharpened its focus on training and you must be able to prove (to an intrusive regulator) that your T&C policies mitigate risk and promote professionalism.

Compliance failures are often put down to staff incompetence. High profile cases have uncovered chief execs operating with no knowledge of the latest regulation. This course helps you meet and maintain the FCA’s expected standards your firm’s training and competence policies.

With limited guidance from the regulator, establishing a robust framework is a challenge. This one-day course will help you develop the policies and processes you need to ensure your people reach and maintain competence:

Who is this course for?

This one-day course has been designed for:

  • Compliance teams
  • HR departments
  • Training and development professionals
  • Line managers

Details and booking

 

Evidencing the Fair Treatment of Vulnerable Customers – October 5

The FCA has called for organisations to introduce a “high-level policy on consumer vulnerability”. An overzealous application of the rules or unclear explanation of products has seen several global companies make headlines. Poor treatment could lead to lawsuits, penalties and a shrinking customer base. Yet most firms lack a strategic approach to consumer vulnerability.

Join us for this informative half-day course. You’ll be given the tips and resources you need to introduce a compassionate strategy and meet the specific needs of your customers.

Who is this course for?

This packed half-day course has been designed for:

  • Customer service teams
  • Individuals tasked with improving customer experience
  • Compliance staff
  • Training and competence teams
  • Employees in operations or sales

Details and booking

 

All our training including those mentioned above can be delivered in-house, you can access further training on the ‘Courses‘ page of the website. We also work with our clients to provide bespoke training and consultancy services to address specific needs, so please do not hesitate to get in touch to discuss your requirements.

Stuart Bull

Marketing Manager

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