It’s been a busy start to the year with the long-awaited MiFID II coming in to play. Now the dust has settled somewhat, it’s a good time to start planning your training and CPD for the rest of the year. We run a mix of popular 2-hour workshops alongside half and one-day intensive courses catering to all levels within your business.
We’re sure you are well aware the FCA expects your firm to continually review your employee competence and training needs regularly. FSTP is 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 in-house. Here’s our pick of what’s coming up this Spring 2018.
Effective Minute Taking – 17 April
The new Senior Managers and Certification Regime (SMCR) means the quality of a firm’s minute taking is due to come under further scrutiny when it is implemented. They could even be inspected as part of regulatory supervision.
It’s therefore crucial for firms to make sure the board and committee meeting minutes are truly a reflection of the good governance arrangements the firm has in place. In anticipation of SMCR, FSTP has designed a short, thought provoking and behaviour changing workshop for firms looking to improve the quality and consistency of their minute taking.
You will reap the benefits very quickly; good minutes and informed minute takers have a vital role to play, evidencing to anyone who may want to scrutinise your business that you are well governed. We commonly find inconsistencies and lack of practical experience across minute takers, can stand in the way of that evidencing so this workshop will help you improve performance.
Effective Report Writing – 18 April
This course will be useful for anyone who undertakes analysis and wishes to make their reports more professional and effective, including: Compliance, audit and risk professionals, Senior managers, Heads of functions
Join us for this one-day intensive course led by a communications expert, you’ll gain all the practical skills you need to write more effective reports.
Writing clearly and persuasively is not an easy skill to master. Give us just one day of your time and we will help you become a more skilled report writer.
You’ll learn to structure reports so your message stands out (and make reading effortless). You’ll keep your reader onside, even when delivering bad news. And you’ll inspire action by writing in a clearer, more persuasive style.
The First Principles of Regulation and Compliance – 1 May
If you’re new to the financial services industry, you will need help navigating the complexities of compliance and regulation. This one-day intensive course has been designed for new employees of financial services firms, employees wishing to update their knowledge, and students of foundation or certificate level regulatory qualifications. It will also 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
Risk of Outsourcing in Financial Services – 22 May
Outsourcing can cut costs and improve the quality of non-core functions. But it can also transfer risk beyond your control.
Hidden fees, vendor solvency and data security are just some of the most common problems. Service providers may also have governance issues, landing you in hot water with the regulator.
The FCA considers your firm accountable. Though the work may be outsourced, regulatory responsibilities remain firmly in-house.
Introducing the right processes is an essential part of managing third-party risk. From Service Level Agreements (SLAs) to termination contracts, the right documentation will safeguard your business and demonstrate best practice to the regulator.
Join us for this one-day training course where we’ll work through the outsourcing cycle, helping you develop the controls and contingency plans required to protect your firm:
- Understand the regulator’s expectations (of your company and the service provider)
- Set practical and workable SLAs
- Introduce standards of best practice
- Identify the common risks of outsourcing
- Focus on risk management and contingency planning
- Easily evidence management controls to the regulator
- Exit planning and contract termination
This practical one-day event is perfect for: Professionals in outsourcing management, outsourcing providers in need of regulatory knowledge, compliance, audit and risk teams
Increasing Responsibilities for HR in Financial Services – 30 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.
Tighter regulation means that any member of staff who performs a ‘controlled function’ without FCA approval could be hit by a significant fine (and attract bad press for your business). It’s down to your department to make sure this doesn’t happen.
People risk is high on the regulator’s agenda and 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
By joining us for this informative one-day course you’ll be better positioned to protect your business and withstand the regulator’s scrutiny.
This packed one-day course has been designed for:
HR professionals, training and employee benefits teams, recruitment staff, administration and record keeping personnel
Should you require any additional training support please do get in touch with a member of the team. We are always working with clients to provide more bespoke training offerings to meet the specific needs of their business.