Open Courses Preview – Summer 2019

Outside Notes

2019 is definitely the year for SMCR when it comes to new and emerging regulation for the industry. What comes with this is a broader reach across the corporation or firm and a greater need for knowledge and competence.

While we are sure you are well aware that the FCA expects your firm to continually review your employee competence and training needs, we can help you fill in the gaps to ensure you are compliant. Do get in touch if you would like us to answer any questions or if you’re interested in having a course run for you inhouse.

Here’s our pick of what is coming up this summer and beyond:


The Senior Managers & Certification Regime – The Implications For FCA Solo Regulated Firms

30th July 2019

PI & PensThe focus on the behaviour and competence of individuals who hold positions of responsibility which could cause client, industry and market detriment has never been more intense. Individuals in positions of influence who have never held approved person status before will now be held accountable for their decisions and actions. Attending this two hour briefing will give you an overview of what the regulator requires of Senior Managers and what this practically means to the firm as a whole.

Who is this course for?

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


Organisational Culture & Behavioural Risk

31st July 2019

Learn how behavioural economics will help protect your firm from conduct risk, create better outcomes for your customers and keep the regulator happy.

People like to think they make rational buying decisions. But the evidence points to a different conclusion: they don’t. Errors made by consumers are persistent and predictable. Make the smart decision to join us for this one-day fascinating and practical look at behavioural economics.

Who is this course for?

This course is ideal for people in the following roles:

  • Sales
  • Senior Management
  • Executives
  • Marketing
  • Risk


Increasing Responsibilities For HR In Financial Services

21st August 2019

Tighter regulation means any member of staff who performs a ‘controlled function’ without FCA approval could be hit by a significant fine (and attracts bad press for your business). It’s down to your department to make sure this doesn’t happen.

It’s much more common for heads of HR to be interviewed on supervisory visits. They are looking for you to demonstrate best practice in:

  • The appropriateness of senior management hires
  • Structures, reporting lines and job descriptions
  • Remuneration strategies
  • Recruitment processes
  • Training and competence programmes

Join us for this informative one-day course and you’ll be better positioned to protect your business and withstand the regulator’s scrutiny.

Who is this course for?

This packed one-day course has been designed for:

  • HR professionals
  • Training and employee benefits teams
  • Recruitment staff
  • Administration and record keeping personnel


Cryptocurrency And Digital Asset Compliance

5th September 2019

 The world of Cryptocurrency is evolving rapidly, with a small number of regulated financial services firms already seeking to benefit from this innovation, particularly in the area of payment services. The take up in the commercial mainstream is only set to grow as knowledge of the subject increases, the technology becomes better understood and potential blind spots around AML and Compliance are identified and addressed.

This course provides an introduction to digital currencies, the risks currently associated with them and the steps that firms need to be taking in order to ensure that compliance requirements are fulfilled.

Who is this course for?

It’s perfect for anyone looking to use Cryptocurrency in their firm.


Information Givers In Wealth Management

12th September 2019

Green WorkDo you have staff that are not giving ‘advice’ to clients but may talk to clients about your products, services with or without details of your costs and charges or even provide your house view of markets or sectors? These members of staff are your Information Givers.

This one-day workshop is designed for those who do not hold a formal qualification covering the necessary knowledge and competence requirements. The workshop will provide delegates with the generic knowledge and test them against the relevant criteria.

Who is this course for?

It’s perfect for anyone who interacts with clients and discusses your products, services or even discusses your house view of markets or sectors.

Lydia Francis

Marketing Co-ordinator