1 - 2 December 2016
Introduction to FCA Regulation & Compliance
Practical Guidance & Worked Examples
This highly practical course will use focused presentations, case studies and interactive discussions to define and illustrate the key topics of the regulatory framework and the compliance function. The emphasis will be on pragmatic approaches and real-life application rather than high-level theory.
Key Benefits of Attendance
- Regulatory Architecture
- Regulation of Products and Sales Processes
- Governance Structures, Senior Management Responsibilities and Changes to the Approved Persons Framework
- Supervision and Enforcement
- To provide a practical introduction to FCA regulation
- Reflect on the changes in the regulatory architecture
- Looking at the changes in approaches
- Examine the focus on current high risk areas
- Gain a thorough understanding of the essentials of financial service compliance
Who should attend
- People new to or with little experience in compliance or regulatory risk
- Senior managers looking for a practical introduction or a refresher on FCA regulation and compliance
- The workshop is of value to individuals across the financial services industry
Meet Your Workshop Leader
Charles Cattell is a consultant and training practitioner with extensive expertise across the financial services sector. He is a Partner of The Cattellyst Consultancy, a competence and compliance practice established in 1992 which advises and trains a broad range of financial services clients on governance and regulatory issues. His personal client list includes banks, investment firms, insurers and intermediaries, for whom he has carried out a range of senior level assignments relating to corporate governance, regulatory compliance, personal development, coaching and leadership.
Charles also works with trade associations and examining bodies on regulatory training and benchmarking projects. In addition he has been retained by regulators to advise on policy, standard setting and development activities. During his career Charles has been principal of a college of insurance, training and recruitment manager with a leading city firm and the director of a trade body. 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.
Many of our courses can be specially tailored to place an emphasis on your own business objectives, incorporating case studies and examples from your company or business sector.
Advantages of in-company training include:
Courses will be designed to meet your own organisations needs and goals, based on our in-depth needs analysis approach - a proven framework that includes managers and employees in the development process.
Convenient and Cost Effective
You can choose a time to suit your workloads and courses are held at a location convenient for you – eliminating accommodation and travel expenses, and saving your staff time.
In-company training provides an immediate impact in motivating, retaining and enhancing the performance of your staff. Just a short course can bring major improvements in performance through raising morale, boosting productivity, speeding up the rate of change, or equipping your staff to deal with new challenges.