TRAINING, WORKSHOPS AND BRIEFINGS
We train, workshop or brief boards, directors, senior managers, compliance officers, auditors, traders and dealers in groups of any size, or individually.
Explore our wide range of popular topics and allow us to customise them for you.
Our instructor-led sessions are both engaging and interactive.
All our trainers have worked either in-house or with the regulator.
They have real-world, practical, regulatory experience and offer the latest, innovative ways of providing engaging training facilitation.
You can browse our most popular courses below. Click through to view course outlines to see what our clients have been most interested in learning about.
Then get in touch to arrange for one, or several, of these course outlines to be delivered as shown or we can adapt just for you and your firm.
TRAINING COURSE OUTLINES
Protecting Customers Monies and Assets (CASS)
CASS for Beginners
Learn FCA CASS rules, responsibilities, best practices, and past failures. Ideal for new or returning CASS pros.
CASS for Operations
Operations staff learn technical CASS rules, for practical application and examples of key processes.
CASS for
Support Functions
Support functions acquire the tools to monitor CASS compliance, understand three lines of defence and manage risks.
Holding the CASS SMF
Briefing for CASS and Senior Manager function holders. Gain knowledge to succeed as a CASS Senior Manager.
Holding the CASS Certification Function
Operations staff learn technical CASS rules, for practical application and examples of key processes.
Conflicts of Interest
Introduction to Conflicts of Interest
People new to conflict management get guidance on compliance, best practices and regulatory requirements
Payment for
Order Flow
People new to conflict management get guidance on compliance, best practices and regulatory requirements
Managing Conflicts of Interest
Heads of sales learn to manage conflicts of interest ethically with practical techniques.
Consumer Duty
Product Governance
Learn the regulatory requirements, risk assessments and best practice for designing products.
Introduction to the Consumer Duty
New to Consumer Duty? Get a clear overview of FCA expectations, obligations and impact.
Vulnerable Customers and the Consumer Duty
Equip yourself with the expertise to confidently identify, understand, and support vulnerable customers.
Consumer Duty for the Champion
Consumer Duty Champions learn regulatory drivers, FCA expectations, key processes and breaches management.
Financial Crime
Financial Fraud Detection, Prevention & Compliance for Compliance Officers
Detect and prevent fraud: Deep dive into financial crimes, regulations and best practice in fraud mitigation.
Strengthening Our Defenses Against Fraud
Board briefing on UK financial services Fraud landscape, including upcoming Material Fraud Statement and Failure to Prevent Fraud Offences.
Conducting Anti Fraud Risk Assessments
Equipping risk and compliance officers to conduct anti-fraud risk assessments effectively.
Market Abuse
Introduction to Market Abuse
Explore the UK market abuse regime impact on investment professionals, offences and sanctions.
Market Abuse Regulations (MAR) Refresher
Refresher on market abuse regs and supervisory expectations. Covers requirements and practical risk assessments.
Managing and Mitigating Market Abuse Risks
Investment professionals learn how to mitigate market abuse risks.
Outsourcing
Introduction to Managing Third Party Risk
Gain a high-level understanding of UK TPRM and the tools to manage TPRM risks effectively
Managing Outsourced Arrangements
Engaging third parties? Get insights into the outsourcing regulations and expectations.
Introduction to Outsourcing
Gain a general introduction into managing outsourced arrangements.
SMCR
Taking on a Senior Manager Function
New Senior managers learn about the Senior manager regime, personal liabilities and risk management.
Taking on a Certification Function
Briefing for Certification Function holders to manage risks effectively.Develop strategies for success in your role.
The
Conduct Rules
Line managers, HR and compliance professionals learn conduct principles and rules through practical examples.
SMCR for Beginners
HR, compliance or managing SMCR? Understand the requirements, breaches and effective solutions.
SMCR for Support Functions
Support functions learn SMCR purpose, regulator’s goals and guidance on SMCR review and audit scoping.