20 Mar 2019, London
9:30am to 4:30pm
This one-day workshop has been designed primarily for human resources specialists. It is intended to explain the implications of working in a regulated environment and, in particular, to address those aspects of the regulatory regime which have a direct impact on the HR function.
This course is equally appropriate for delegates from FCA solo-regulated firms and from firms which
are dual-regulated by FCA and PRA.
In just one day, attending will help you:
Although targeted primarily at HR professionals who are new to financial services and its regulation, this workshop is also appropriate for more experienced practitioners who are seeking a greater understanding of the regulatory requirements in preparation for the implementation of the Senior Managers and Certification Regime. The workshop would also benefit operational managers who are
assuming HR responsibilities and who need to understand how these can be undertaken effectively while meeting regulatory obligations
This course will combine lecture style presentations with practical examples and discussions. Delegate numbers will be limited to ensure a high quality learning environment.
Charles Cattell is a consultant and training practitioner with extensive expertise across the financial services sector. He advises, trains and develops a broad range of financial services clients and their senior managers about the human aspects of regulation with a particular focus on managing people risk, the development of competence and expertise and the enhancement of corporate culture. His clients include banks, product providers, intermediary firms, and insurers with whom he works at a senior level on learning, leadership, regulatory and corporate governance issues. Charles also works extensively with trade associations, examining bodies and regulators, whom he has advised on competence and professionalism issues. He is a Chartered Fellow of the Chartered Institute of
Personnel and Development, a Chartered Member of the Chartered Institute for Securities & Investment and a Chartered Insurance Practitioner and an Associate of the Chartered Insurance Institute.
|The UK financial services regulatory framework||
|Development of the FCA rules governing people||
|Senior Management Arrangements, Systems and Controls||
|Approved Persons Regime||
|Senior Managers and Certification Regime||
|Recruitment, Fitness and Propriety||
|Achieving, Assessing and Maintaining Competence||
|HR Practice, Risks and Controls||
|Culture and people risk||
This course can be delivered in-house at a time and location to suit your business and tailored to suit your people and organisation. We can also create bespoke training when something very specific is needed.Please contact us to discuss your requirements in more detail and at no obligation.