04 Dec 2019, London
9:30am to 16:30pm
Course fees: £675.00 + vat per person
Savings for multiple registrations
This focused, one day course will provide a clear and easily digestible overview of the new FCA regulatory framework (touching also on the role of the PRA) and highlight the key requirements for firms and individuals. The emphasis will be on the practical implications of the regulations in the day to day business environment. Attending this course will help you:
This course will be of immediate and lasting value if you:
This workshop uses a combination of trainer input, syndicate work and case studies. Group size is kept to a maximum of 16 to facilitate a high quality learning experience.
Gary Pitts has over 20 years of compliance experience, including spells with the Personal Investment Authority, Henderson Global Investors, Brevan Howard Asset Management, Religare Capital Markets and as a Managing Partner of Solo Capital Partners. He now runs his own regulatory and governance consultancy, Tetractys Partners LLP. He has extensive asset management, hedge fund and investment banking experience in addition to a broad and deep understanding of corporate governance. Gary is a regular conference speaker and author of technical articles on compliance-related topics. He sits on the regulatory advisory group of the Journal of Securities Operations and Custody. Gary holds Masters degrees from Oxford and London Universities and an MBA from the Open University Business School, is a former director of Cayman and Luxembourg domiciled hedge funds, as well as regulated companies in the UK and South Africa. Gary has been an FSA/FCA registered person in Controlled Functions 10 and/or 11 since 2001. He brings a combination of compliance and commercial experience, in terms of both practical implementation and Board level oversight, to the training he delivers.
Session | Content |
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Introduction and review of developments in regulation |
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Duties, powers, objectives and accountability of the FCA and PRA |
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Discipline, enforcement and credible deterrence |
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The FCA Handbook |
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High level requirements, including SYSC and Approved Persons |
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Complaints and compensation arrangements |
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Supervision |
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Risk control and current regulatory hot topics |
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Conduct Risk |
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Training & Competence |
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Financial Crime |
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Culture and TCF |
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Summary and how to succeed |
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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.