60 Minute Briefing - AML Update for Directors and Senior Managers
|
In-House Only
|
60 Minute Briefing - Fraud Prevention Update for Directors & Senior Management
|
In-House Only
|
60 Minute Briefing - Senior Management Arrangements, Systems & Controls (SYSC) for Directors and Senior Managers
|
In-House Only
|
60 Minute Briefing: Approved Persons
|
In-House Only
|
90 Minute Briefing: PEPs and Sanctions
|
None scheduled
|
AML Training - For All Staff
|
07/04/2010
09:30 - 12:30
|
AML Training - For All Staff - Refresher
|
11/03/2010
09:30 - 11:30
|
AML Training for Legal Professionals
|
None scheduled
|
AML Training for Legal Professionals - Refresher
|
None scheduled
|
AML: Client Take On - Risk Based CDD
|
In-House Only
|
Authorisation and Approved Persons
|
In-House Only
|
Best Execution Workshop
|
In-House Only
|
CISI - Certificate - Commodity Derivatives
|
In-House Only
|
CISI - Certificate - Derivatives
|
In-House Only
|
CISI - Certificate - Financial Derivatives Module
|
In-House Only
|
CISI - Certificate - Investment and Risk
|
In-House Only
|
CISI - Certificate - Securities
|
In-House Only
|
CISI - IAQ - Asset Servicing
|
In-House Only
|
CISI - IAQ - Collective Investment Schemes
|
In-House Only
|
CISI - IAQ - CREST Settlement
|
In-House Only
|
CISI - IAQ - Exchange Traded Derivatives Administration
|
In-House Only
|
CISI - IAQ - Foundation Qualification : Introduction to Investment
|
In-House Only
|
CISI - IAQ - Global Securities Operations
|
In-House Only
|
CISI - IAQ - Introduction to Securities and Investments
|
In-House Only
|
CISI - IAQ - ISA and CTF Administration
|
In-House Only
|
CISI - IAQ - IT in Investment Operations
|
In-House Only
|
CISI - IAQ - Operational Risk
|
In-House Only
|
CISI - IAQ - OTC Derivatives Administration
|
In-House Only
|
CISI - IAQ - Private Client Administration
|
In-House Only
|
CISI - IAQ or Certificate - FSA Financial Regulation
|
In-House Only
|
CISI - IAQ or Certificate - Principles of Financial Regulation
|
In-House Only
|
CISI - IFQ - Islamic Finance Qualification
|
None scheduled
|
Client Assets Workshop
|
In-House Only
|
Client Categorisation Workshop
|
In-House Only
|
Compliance Monitoring
|
None scheduled
|
Compliance Skills - Writing an effective report
|
In-House Only
|
Conflicts of Interest Workshop
|
In-House Only
|
Data Security in Financial Services Firms
|
In-House Only
|
Financial Promotions Workshop
|
In-House Only
|
Fraud Prevention Training for All Staff
|
In-House Only
|
Fraud Prevention Training for Investigating and Prevention Officers
|
In-House Only
|
GET LISTENED TO: Credibility & Confidence for Compliance, Internal Audit and Risk Management Professionals
|
None scheduled
|
Introduction to the FSA's Conduct of Business Rules
|
13/05/2010
09:30 - 12:30
|
Managing Legal Risk
|
In-House Only
|
MLRO - Half Day Refresher Course
|
13/04/2010
09:30 - 12:30
|
MLRO - Introduction to the Role - 1 Day Course
|
17/03/2010
09:30 - 17:30
|
MLROs in legal firms
|
None scheduled
|
New Applicants
|
None scheduled
|
Operational Due Diligence for Hedge Funds
|
In-House Only
|
Outsourcing Workshop
|
In-House Only
|
Preparing for an FSA ARROW II Visit
|
In-House Only
|
Principles Based Regulation in Practice
|
In-House Only
|
Quarterly Regulatory Roundup
|
08/07/2010
12:30 - 14:00
|
Regulating Retail Banking
|
In-House Only
|
Regulatory Environment - 3 Hour Overview of the UK Regulatory Environment
|
12/05/2010
09:30 - 12:30
|
Regulatory Induction - 1 Day Regulatory Induction Programme
|
14/04/2010
09:30 - 17:30
|
Senior Management Arrangements, Systems and Controls
|
12/05/2010
14:30 - 17:30
|
Senior Management with Delegated AML Compliance Responsibilities
|
In-House Only
|
The Market Abuse Regime
|
In-House Only
|
The Role of the Compliance Officer
|
30/03/2010
09:30 - 17:30
|
Training & Competence Obligations
|
In-House Only
|
Transaction Reporting (Record Keeping) Workshop
|
In-House Only
|
Treating Customers Fairly (TCF) - The Sixth Principle
|
In-House Only
|
No Courses in basket
