IN-PERSON TRAINING

9th October 2017 – The FCA Code of Conduct Rules: Understanding and Complying with COCON

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background: From 7th March 2017, the obligation to comply with the Code of Conduct rules will be expanded to include almost all staff involved in any form of regulated activity in organisations within the scope of the Senior Managers and Certification Regime (“SMCR”).  .

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11th October 2017 – Money Laundering Reporting Officer: Writing the Annual Report to the Board

Time: 9.30am to 12:30pm

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Cost: £349 + VAT

Course Background:

The Money Laundering Reporting Officer (MLRO) is required to produce a report to the governing body of the firm at least once a year.

This report must include an opinion as to the effectiveness of the anti-money laundering systems and controls, together with other information that the MLRO needs to bring to the attention of the governing body. This requirement links with the obligation that the MLRO has as an Approved Person.

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12th October 2017 – The Data Protection Act

Time: 9.30am to 12.30pm

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Cost: £349 + VAT

Course Background:

Data security and protection are now at the forefront of the fight to prevent both fraud and regulatory censure for lax controls over customer data. Latest statistics indicate that UK business is facing an annual £98.6 billion fraud bill. Instances of white collar crime are on the rise, evidenced by the huge rise in cybercrime and cyber-enabled fraud. Seven out of ten frauds involve some kind of technology. Prosecutions have trebled over the last three years, with a 200% increase in the number charged with “cyber” offences.

 

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17th October 2017 – Compliance Officer: The Role and Responsibilities

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background

The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules.

While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a CO and explains, in practical terms, how the regulatory expectations and those of Senior management can be achieved.

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19th October 2017 – Managing the FCA visit and avoiding escalation

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview: 

The FCA has tremendous, draconian powers that can do untold damage to your business. So how do you combat this when things go wrong?

We hope this never happens but when it does how prepared are you? This course is specifically designed to assist Senior Management to prepare for the visit and for that worst case scenario

The course includes examples of the offences that could have an impact on your business and individuals, including the potential for personal fines, prohibition or criminal proceedings.

As the saying goes, “Forewarned is forearmed” and the cardinal rule when dealing with the regulator is never to be complacent. Prevention is often better (and in this case cheaper) than cure and that is why we are offering this training course.

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24th October - Compliance Monitoring

Time: 1.30pm – 4.30pm

Cost: £349 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview:

Senior Management Arrangements, Systems and Controls in the regulator’s handbook sets out responsibility that a Compliance Officer has is to monitor, and on a regular basis, assess the adequacy and effectiveness of the measures and procedures put in place by senior management to ensure compliance with the relevant rules and regulations.

Senior management and the Board of the organisation will place a heavy reliance on the Compliance Officer to provide them with either comfort that the compliance arrangements are adequate and effective or bring to their attention serious weaknesses that could result in compliance failures.

To achieve this the Compliance Officer is expected to develop a risk based Compliance Monitoring Programme (CMP) which details the various tests that the compliance function will complete and the frequency with which each test will be carried.

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24th October 2017 – Compliance Officer: Writing an Effective Compliance Report

Time: 9:30am to 12:30pm

Cost: £349 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview:

One of the main responsibilities of the Compliance Officer is to provide management with an assessment of the firm’s systems and controls that have been put in place to achieve compliance with the applicable rules.

Compliance assessments will be undertaken during the course of the year as part of the compliance monitoring programme and reports will need to be produced following each test or group of tests. In addition the Compliance Officer will be required to produce reports to the governing body of the firm on a regular basis.

It is therefore vital that reports put across the right messages in the right way. They need to be designed to be read and understood to ensure they are effective; clearly identifying the high priority issues so they do not get lost in what may be a number of findings.

This course will examine what “effective” really means in practice and the methods one can use to produce compliance reports that will result in changes where they are needed.

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25th October - The Criminal Finance Act Briefing

Time: 9.30am – 11.30am

Cost: £299 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview

In the closing session of the UK Parliament prior to the general election the CFA received Royal Assent.  The implementation of the CFA has been described as the biggest shake-up since The Proceeds of Crime Act 2002. In essence the CFA gives law enforcement further capabilities and powers to tackle money laundering, tax evasion, corruption, the financing of terrorism and recover the proceeds of crime. Additionally, in its further efforts to toughen up on money laundering the UK Government is setting up of a new watchdog that will sit within the FCA to deal specifically with this crime: “The Office for Professional Body Anti-Money Laundering Supervision” (OPBAS). This briefing is designed to bring you up-to-date with the changes in the CFA and to assist you in considering what changes you will need to make to your policies, procedures and training arrangements.

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1st November 2017 – Managing Capital Adequacy Risk

Time: 3.00pm to 5.00pm

Cost: £299 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview:

The ever increasing focus by the Regulators on capital adequacy and the accountability of Senior Management, particularly when things go wrong, emphasises the importance of individuals in senior Management positions having a clear understanding:

  • of what is expected of them as holders of Significant Influence Functions,
  • of how the firm’s financial and regulatory reporting processes ensure compliance with the relevant obligations, and
  • at a level of detail appropriate to understand and challenge the work done by internal resources and/or outsourced service providers, of relevant prudential requirements and capital calculations.

This course is designed to assist Senior Management to embed a compliance ethos in the individual and a strong compliance culture throughout the firm.

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2nd November 2017 – The FCA Code of Conduct Rules: Understanding and Complying with COCON

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background:  From 7th March 2017, the obligation to comply with the Code of Conduct rules will be expanded to include almost all staff involved in any form of regulated activity in organisations within the scope of the Senior Managers and Certification Regime (“SMCR”).  

Course Overview:

This course is aimed at explaining the COCON rules in practical terms and clarifying what is expected of organisations and individuals.

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2nd & 3rd November - Introduction to Modern Financial Markets

Time: 9.30am – 4.30pm

Cost: £999 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview

This comprehensive and highly interactive course is designed to provide delegates with an excellent understanding of the financial markets and how they work. This is an ideal course for people working in the back office, Finance, Risk,  Internal Audit and Compliance functions as well as individuals new to the industry who need to enhance their knowledge of the various and often complex financial markets. Individuals attending this course will learn about the market participants, the variety of financial instruments, why and how they are used, the risks involved and the various economic factors that have an impact on the markets. All of this is explained in an interactive and clearly understandable manner. Case studies are used throughout the course to help bring the markets to life and to foster interaction.

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6th November - Financial Promotions

Time: 9.30am – 12.30pm

Cost: £349 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview:

The Regulator’s objectives include ensuring that firms operate in their client’s/customer’s best interest, including treating them fairly and communication with their clients in a clear, fair and not misleading way. Therefore, if you advertise your products and services in any way your firm is likely to be on the Regulator radar. This course is designed to explain, in a clear and practical way, what the rules are and what needs to be done to achieve and maintain compliance with them.

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7th November 2017 – Senior Management Obligations in FCA Regulated Firms

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background:

The ever increasing focus by the Regulators on the accountability of Senior Management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them.

Learn more/ Register

7th November 2017 – The Senior Managers and Certification Regime

Duration: 2 hours

Time: 1:30pm to 3:30pm

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Cost: £299 + VAT

Course Overview:

Recent announcements about extending the scope of the Senior Management and Certification Regimes beyond banking will result in asset managers and other firms needing to become familiar with the new regulatory requirements.  This concise course gives an overview of the regimes and explores the issues which firms will need to address and resolve if they are to meet the new standards effectively.

Learn more/ Register

9th November 2017 – Market Abuse Regulation

Time: 1:30pm to 4:30pm

Cost: £349 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview:

On 3rd July the new EU Market Abuse Regulation (MAR) came into effect, updating the Market Abuse Directive that has been in place since July 2005.

This course will provide you with an understanding of what the MAR means to your firm and employees. The course focuses on the move to the new rules and the practical application of systems and controls.

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9th November 2017 – Identifying and Managing Conflicts of Interest

Time: 1:30pm to 4:30pm

Cost: £299 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background

The FCA expects firms to take appropriate and effective steps to avoid conflicts of interest or, at least, manage them properly.

Course Overview:

The obligation on senior management is to implement and maintain appropriate systems and controls to identify and manage the risks to the firm and the employees of a conflict occurring.

The course will examine the FCA’s expectations and the relevant rules, particularly Principle 8 of The Principles for Businesses. You will also explore the implications of these rules for firms from the FCA guidance and thematic reviews.

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14th November 2017 – Financial Crime – Anti-Money Laundering Awareness (AML)

Time: 1:30pm to 4:30pm

Cost: £299 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview:

Under Regulation 21 of the Money Laundering Regulations 2007 (MLR) senior management must ensure that immediately on joining the firm employees at all levels of seniority receive training in AML. In addition refresher training must also be provided at a frequency determined by the firm’s AML risk assessment.

This course is specifically designed to assist Senior Management in meeting these obligations. Any failure to meet these obligations is a breach of the MLR and of the FCA/PRA Rules in “Senior Management Arrangements, Systems and Control (SYSC).

The course is also invaluable to MLRO’s that need to have a good knowledge of the UK AML regime to enable them to carry out their role successfully.

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14th November 2017 – Financial Crime Prevention – Anti Money Laundering, Anti Bribery and Corruption and Market Abuse

Time: 9:30am to 12:30pm

Cost: £299 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background:

This course is specifically designed to assist Senior Management in meeting their obligations under Regulation 21 of the Money Laundering Regulations 2007 (MLR).

Learn more/ Register

15th November 2017 – Compliance Officer: The Role and Responsibilities

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background

The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules.

While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a CO and explains, in practical terms, how the regulatory expectations and those of Senior management can be achieved.

Learn more/ Register

16th November 2017 – Demystifying Derivatives

Time: 9.30am – 4.30pm

Cost: £649 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview

This course is designed to give real insight into the use of Derivatives and the  role they play in the management of portfolios at Asset Managers and Hedge Funds alike. It is now essential to have a good understanding of how these products work. This course will allow you to understand how they are used by Managers and how the fast changing Regulatory Environment they operate in, is affecting them.

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16th November 2017 – Money Laundering Reporting Officer: The Role and Responsibilities

Time: 9.30am to 4.30pm

Cost: £649 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background:

The role of the Money Laundering Reporting Officer  (MLRO)  is a mandatory position in all firms in the Financial Services Industry.

Course Overview:

This reflects the statutory objective that the Regulator have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF), are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

Learn more/ Register

17th November 2017 – The Role and Practice of Internal Audit

Time: 9.30am to 5.30pm

Cost: £649 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview:

The FCA has described the Internal Audit function as “the function of assessing adherence to and the effectiveness of internal systems and controls, procedures and policies.”  To enable the function to meet this requirement requires it to be independent of the day to day business operations, have access to all the firm’s records and to be resourced by individuals who have a strong moral code of independence and objectivity.

This course is specifically designed to assist Senior Management to understand the role of their internal audit function and to assist them in attaining an internal audit function upon which they can rely.

The course includes examples of the areas covered by internal audit, the risk management approach to internal auditing, undertaking a review and what you should expect from the reports provided to you.

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17th November - Compliance Induction

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background

It is essential that everyone in a wholesale financial services firm has sufficient knowledge and understanding of the regulatory obligations which arise in the context of the firm’s activities.  To have limited, or no knowledge or understanding,  could have serious consequences. Senior Managers also need to understand their compliance responsibilities in order that a suitable compliance infrastructure and culture is installed within the firm.

Learn more/ Register

21st November 2017 – The Data Protection Officer

Time: 9.30am to 12.30pm

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Cost: £349 + VAT

Course Overview:

Data security and protection are now at the fore-front of the fight to prevent both fraud and regulatory censure for lax controls over customer data. Latest statistics indicate that UK business is facing an annual £98.6 billion fraud bill. Instances of white collar crime are on the rise, evidenced by the huge rise in cybercrime and cyber-enabled fraud. Seven out of ten frauds involve some kind of technology. Prosecutions have trebled over the last three years, with a 200% increase in the number charged with “cyber” offences

Learn more/ Register

21st November 2017 – Financial Crime – Fraud Prevention: The often ‘Forgotten Risk’

Time: 1:30pm – 4.30pm

Cost: £349 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background:

The course is aimed at assisting firms to fully understand the fraud risk, the practicalities involved in mitigating this risk and providing advice on what to do if it happens.

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22nd November 2017 – Corporate Governance in Financial Services Firms

Time: 1.30pm – 3.30pm   

Cost: £349 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London

Course Overview:

A robust and well defined governance structure underpins all effective governance frameworks and is key to compliance with the FCA’s requirements in its Systems and Controls handbook (SYSC).  An informal structure with limited documentation or poorly defined processes cannot support management in the oversight of its business and can lead to a lack of transparency regarding which body or individual is accountable for activities and a reliance on informal reporting mechanisms.

This course will assist delegates in understanding those elements that go to make corporate governance an effective tool within your organisation.

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30th November 2017 – Financial Crime – Politically Exposed Persons and Financial Sanctions

Time: 9.30am – 12.30pm   

Cost: £349 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London,

Course Overview:

This succinct 3 hour course provides advice and guidance on compliance with the Statutory and Regulatory requirements relating to Politically Exposed Persons (PEPs) and Financial Sanctions.

If you have business relationships with customers, clients, investors, portfolio and/or investee companies and either your firm or your administrator “on-boards” them, the obligation is on your firm to ensure that appropriate risk based procedures are in place to determine whether you are entering into a relationship with a PEP and/or an entity against which there are financial sanctions.

Where a PEP or a sanctioned entity is identified Firms must ensure adequate measures are taken to mitigate the risk. Failure to evidence that these requirements are met will risk regulatory censure for non-compliance with one or more of the 11 Principles for businesses and the potential for prosecution.

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4th December - Senior Management Obligations in FCA Regulated Firms

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background:

The ever increasing focus by the Regulators on the accountability of Senior Management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them.

Learn more/ Register

4th December 2017 – The Senior Managers and Certification Regime

Duration: 2 hours

Time: 1:30pm to 3:30pm

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Cost: £299 + VAT

Course Overview:

Recent announcements about extending the scope of the Senior Management and Certification Regimes beyond banking will result in asset managers and other firms needing to become familiar with the new regulatory requirements.  This concise course gives an overview of the regimes and explores the issues which firms will need to address and resolve if they are to meet the new standards effectively.

Learn more/ Register

5th December 2017 – Financial Crime Prevention – Anti Money Laundering, Anti Bribery and Corruption and Market Abuse

Time: 9:30am to 12:30pm

Cost: £299 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background:

This course is specifically designed to assist Senior Management in meeting their obligations under Regulation 21 of the Money Laundering Regulations 2007 (MLR).

Learn more/ Register

6th December 2017 – Financial Crime – Anti-Money Laundering Awareness (AML)

Time: 1:30pm to 4:30pm

Cost: £299 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview:

Under Regulation 21 of the Money Laundering Regulations 2007 (MLR) senior management must ensure that immediately on joining the firm employees at all levels of seniority receive training in AML. In addition refresher training must also be provided at a frequency determined by the firm’s AML risk assessment.

This course is specifically designed to assist Senior Management in meeting these obligations. Any failure to meet these obligations is a breach of the MLR and of the FCA/PRA Rules in “Senior Management Arrangements, Systems and Control (SYSC).

The course is also invaluable to MLRO’s that need to have a good knowledge of the UK AML regime to enable them to carry out their role successfully.

Learn more/ Register

6th December 2017 – Compliance Officer: The Role and Responsibilities

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background

The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules.

While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a CO and explains, in practical terms, how the regulatory expectations and those of Senior management can be achieved.

Learn more/ Register

7th December 2017 – Money Laundering Reporting Officer: The Role and Responsibilities

Time: 9.30am to 4.30pm

Cost: £649 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background:

The role of the Money Laundering Reporting Officer  (MLRO)  is a mandatory position in all firms in the Financial Services Industry.

Course Overview:

This reflects the statutory objective that the Regulator have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF), are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

Learn more/ Register

12th December - Compliance Monitoring

Time: 1.30pm – 4.30pm

Cost: £349 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview:

Senior Management Arrangements, Systems and Controls in the regulator’s handbook sets out responsibility that a Compliance Officer has is to monitor, and on a regular basis, assess the adequacy and effectiveness of the measures and procedures put in place by senior management to ensure compliance with the relevant rules and regulations.

Senior management and the Board of the organisation will place a heavy reliance on the Compliance Officer to provide them with either comfort that the compliance arrangements are adequate and effective or bring to their attention serious weaknesses that could result in compliance failures.

To achieve this the Compliance Officer is expected to develop a risk based Compliance Monitoring Programme (CMP) which details the various tests that the compliance function will complete and the frequency with which each test will be carried.

Learn more/ Register

12th December 2017 – Compliance Officer: Writing an Effective Compliance Report

Time: 9:30am to 12:30pm

Cost: £349 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Overview:

One of the main responsibilities of the Compliance Officer is to provide management with an assessment of the firm’s systems and controls that have been put in place to achieve compliance with the applicable rules.

Compliance assessments will be undertaken during the course of the year as part of the compliance monitoring programme and reports will need to be produced following each test or group of tests. In addition the Compliance Officer will be required to produce reports to the governing body of the firm on a regular basis.

It is therefore vital that reports put across the right messages in the right way. They need to be designed to be read and understood to ensure they are effective; clearly identifying the high priority issues so they do not get lost in what may be a number of findings.

This course will examine what “effective” really means in practice and the methods one can use to produce compliance reports that will result in changes where they are needed.

Learn more/ Register

13th December 2017 – The FCA Code of Conduct Rules: Understanding and Complying with COCON

Time: 1.30am to 3.30pm

Cost: £299 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background:  From 7th March 2017, the obligation to comply with the Code of Conduct rules will be expanded to include almost all staff involved in any form of regulated activity in organisations within the scope of the Senior Managers and Certification Regime (“SMCR”).  

Course Overview:

This course is aimed at explaining the COCON rules in practical terms and clarifying what is expected of organisations and individuals.

Learn more/ Register

15th December 2017 – Compliance Induction

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, Norfolk House, 31 St James’s Square, London, SW1Y 4JJ

Course Background

It is essential that everyone in a wholesale financial services firm has sufficient knowledge and understanding of the regulatory obligations which arise in the context of the firm’s activities.  To have limited, or no knowledge or understanding,  could have serious consequences. Senior Managers also need to understand their compliance responsibilities in order that a suitable compliance infrastructure and culture is installed within the firm.

Learn more/ Register