HR Responsibilities for FSA Regulation

Course Code:	4051
Dates:	On a date of your choice
Venue:	Central London
Course Fees:	Available on application
CPD Credits:	7

To discuss your requirements or for further information contact us on 01327 858292 or email info@ctp.uk.com

HR Responsibilities for FSA Regulation Course Outline

This intensive one-day workshop provides you, the HR professional, with important information about the implications for the HR function in meeting HR Responsibilities under the FSA’s requirements.

The financial services regulator has recognised the fundamental risks arising from the management of people at a corporate level and these requirements extend to:

• Creating and communicating clear structures, reporting lines and job descriptions
• How people are remunerated
• Recruitment processes
• Training to ensure they are, and remain competent

Who should attend?

You if you're responsible for key HR activities within an FSA regulated firm including:

• Employee benefits
• Recruitment
• Training
• Administration and record keeping

How delegates will benefit

This workshop will help you to:

• Explain the various elements of the FSA’s sourcebooks that fall naturally to the HR function
• Explore ways of delivering and implementing suitable policies
• Identify key risks arising from people management and how to control them
• Understand the FSA’s approach to regulation
• Understanding the need for Compliance

Training approach

A highly interactive event with case studies and syndicate exercises that prompt debate on how the FSA rules apply to you and work alongside Employment Law. Maximum delegates 15.

Your Tutor

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Programme

Session	Content
Development of the FSA rules governing people	How the rules apply to different roles The legal standing of these rules versus employment law Review the development of the concept of Approved Persons, their recruitment, fitness and propriety. Review the High Level Standards and the reasons for their creation Understand the responsibilities of HR in achieving compliance with these requirements.
Fitness and propriety	Review the contents of the FIT Sourcebook Understand the role of HR as the overseer of Fitness and Propriety What happens when the F&P of an individual is in doubt? Syndicate exercise
Senior Management Arrangements, Systems and Controls	Review of the contents of the SYSC Sourcebook  Identification of key controls operated by HR Syndicate exercise on examples where Control has failed The importance of role profiles and reporting lines Record keeping
Recruitment	Identify how to ensure suitability and competence Case study exercises Identify risks and risk controls
Setting Competence Requirements	Identify the populations covered the Training and Competence Regulations. Examine the key elements of a T&C regime Syndicate exercise: setting competence standards Record keeping requirements Evidencing initial and on-going competence, the CPD regime.
HR related risks and risk controls	Syndicate exercise to identify risks Setting controls Devising key performance indicators

 
Available as an in-house programme. To discuss your requirements or for further information contact us now on 01327 858292 or email info@ctp.uk.com

Corporate Training Partnerships - Championing Compliance

Booking

If you are interested in booking this course, or if you have any questions, please call call us on 01327 858307.