This is the Spring 2017 round up of FSTP courses we’ve planned for the Compliance and Risk area. According to the FCA, your firm must review employee competence and training needs regularly and we’re here to help you fill in the gaps. Do get in touch if you’d like us to answer any questions or you’re interested in having a course run for you inhouse. You’re very welcome to book your place online using the link below each summary.
Increasing Responsibilities for HR in Financial Services – 3 May
Financial markets are all about people. Your HR department oversees recruitment, training and appraisal processes, and has a key role in your firm’s remuneration strategy. From the regulator’s perspective, this gives you a unique position in the management of people risk.
Join us for this informative one-day course. You’ll be better positioned to protect your business and withstand the regulator’s scrutiny:
- Gain insight into the regulator’s expectations of HR roles
- Take a risk-based approach to recruitment
- Learn the standards required for approved persons (and the systems and controls that should be in place)
- Collaborate better with your compliance team
- Ensure your training programme meets the standards and staff are up-to-date with the latest regulation
- Get expert insight into how the regulator thinks and what it means for HR
Regulation & Compliance – The Fundamentals – 24 May
For small businesses the scope of the new rules can seem daunting, and for new staff in the sector it’s hard to know where to begin. Poor compliance causes more than just a regulatory headache. It can ruin a firm’s reputation and devastate its balance sheet. Breaking the rules can also lead to staff dismissal and personal liability (at all levels in the firm).
This intensive, hands-on course will help you get your head around the fundamentals, giving you a thorough grounding in UK financial services regulation. You’ll learn to think like a regulator, and to avoid making compliance mistakes. Get expert guidance on:
- The UK’s regulatory structure after the abolition of the FSA
- The Approved Persons regime
- The new Conduct of Business rules
- Financial crime issues including anti-money laundering and bribery
- Changes to the Client Assets Sourcebook
- Complaints and redress procedures
This practical course is of particular value to new starters in financial services, and those working towards regulatory qualifications.
Retail Conduct and Risk Culture – May 31
The FCA now expects you to create a culture of fairness, looking at your firm’s culture as the potential root cause of poor outcomes for your customers.
While many firms place a high value on organisational culture, far fewer understand how to link culture with conduct risk and improved outcomes for customers.
This intensive one-day course will help you navigate this landscape will earn you 6 CPD points.
It’s perfect for anyone involved in evidencing and influencing conduct risk and culture within their firm including: Human resource roles, Risk and compliance officers, Marketing and business managers and Senior executives and board members.