Open Course Preview for Winter 2018/19

Training Courses,CPD, FSTP, Courses

As we near the end of 2018, it’s safe to say it’s been an eventful year. The twin giants MiFID II and GDPR have played a huge role in shaping the regulatory landscape this year, while SMCR has played on in the background. With this in mind, we’ve highlighted some key courses for you this Winter which will be useful in ensuring you have the depth of knowledge and understanding of what the regulator requires.

We don’t need to tell you the FCA expects your firm to review employee competence and training needs regularly, but we are here to help you fill in any 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 in-house.

You’re very welcome to book your place online on the link below each summary.


Culture & Ethics

The FCA will draw conclusions about a firm’s culture as part of its risk assessment. In the most serious of cases, the regulator has the power to withdraw a firm’s authorisation to operate if it is not deemed compliant. This means strong corporate culture is a must have not nice to have. The responsibility of creating a culture which minimises conduct risk lies with your firm. Changing corporate culture is challenging (and the stakes of getting it wrong are high). This fast-paced two-hour briefing will provide the knowledge you need to get the job done.

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

Date and time: 4 December, 2018, 10:00 am – 12:00 pm

Booking and further details here


MiFID II Product Governance Inducements

While the FCA’s implementation of the MiFID II Product Governance requirements is relatively straight forward, applying them to the product life-cycle and existing processes of your firm may not be. There are a number of new and enhanced requirements for both manufacturers and distributors, which must be well understood so they can be confidently implemented. This two-hour briefing will help delegates feel confident they understand and are applying the MiFID II Product Governance & Inducements rules correctly within their firm.

Who is this course for?

This short, focused briefing has been designed for: Senior management, Executives, Compliance professionals, Employees in risk, sales, legal and project management.

Date and time: 6 December, 2018, 10:00 am – 12:00 pm

Booking and further details here


CISI Financial Planning and Advice Revision Days

FSTP is a CISI Premier Accredited Training Partner, our clients find numerous benefits of studying with us. Small group sizes allow delegates to interact with their trainer and our trainers have taken the exams they are teaching.

Since the merger with the IFP, the CISI has worked hard to develop its qualification pathways for Financial Planners. There are now two routes to achieve the Level 4 benchmark, either the Certificate in Paraplanning or the Investment Advice Diploma. However both routes include the Financial Planning and Advice examination paper.

We are offering a two day face to face revision session to help students prepare for the exam.


Who is this course for?

This revision session is for those looking to take the Financial Planning and Advice paper.  It is ideal for those candidates who have already prepared using the CISI workbook and are looking to embed their knowledge.

Date and time: 9 January, 2019 – 10 January, 2019, 9:30 am – 5:00 pm

Booking and further details here


Preventing, Detecting and Investigating Financial Crime

The FCA wants to work together to make it harder for criminals to exploit your business and your clients. It’s no longer enough for organisations to say they didn’t know suspicious activity was taking place. The market watchdog expects your company to recognise the red flags as part of your governance framework.

Led by an expert in financial crime prevention, this one-day course will open your eyes to this very real threat. You’ll learn to take a more proactive approach to financial crime, and make sure your workforce is on high alert.

Who is this course for?

This practical and intensive one-day course has been designed for:

  • Senior leaders
  • Risk and compliance managers
  • Staff handling financial transactions
  • Employees managing client funds

Date and time: 30 January, 2019, 9:30 am – 5:00 pm

Booking and further details here


Product Governance for Insurance

The regulator is clamping down on poor product development and governance policies. You’ll need to prove your products respond to real consumer needs and are designed to meet their long-term requirements.

Failure to comply could result in the restriction of product features, a block on the promotion of certain products or an outright ban (with serious reputational and commercial repercussions).

This course helps you put the customer at the heart of your product policies and develop the framework that allows you to prove to the FCA you did so.

Who is this course for?

This intensive one-day course has been designed for: Staff with compliance functions, employees needing to ensure regulatory standards are being met

Date and time: 20 February, 2019, 9:30 am – 5:00 pm

Booking and further details here

We also have a full schedule of training in place for 2019, so if you would like to see what other courses we have coming up between January and April, please take a look HERE. Alternatively if you would prefer to see all the courses we currently have available, please go through to our dedicated page HERE. Bookings can be made on each individual course page, or alternatively you can contact a member of the team to discuss any other support that you may require.

Stuart Bull

Marketing Manager