30 November 2016
Introduction to the FCA's SYSC Rules Workshop
Practical Guidance & Worked Examples
The systems and controls rulebook is one of the most central to any FCA-regulated firm. It is also one of the scariest. It is long, has different parts applying to different firms and the regulator likes to use it every time it discovers a major compliance problem. Even when the FCA and PRA are not picking holes in firms’ systems, businesses need to be on top of the key risk management and managerial apportionment issues of the day. SYSC is one of the very biggest fishes in the regulatory sea.
Key Benefits of Attendance
- Tame the SYSC rulebook
- Make the key parts of the SYSC rulebook accessible to all participants
- Through an interactive approach and group work, each individual should come away more aware and less frightened of the systems and controls issues that their firm faces
Attending this workshop will enable you to
- Understand the core ideas behind SYSC
- Know where it fits within the rest of the rulebook
- Grasp the key concepts in the apportionment or responsibilities within and outside firm
- Appreciate the importance and limitations of risk management
- Learn or confirm your knowledge of the key features of any control framework
- Feel confident and comfortable working with SYSC
Who should attend
Both experienced professionals and those with a fresh eye on what is involved with positions such as:
- Business managers
- Risk management
Meet Your Workshop Leader
Adam Samuel has run his own consulting business for over two decades, sorting out compliance, risk management, complaint handling and product development issues for the financial services industry. He combines qualifications both as a lawyer on both sides of the Atlantic with the CISI Compliance Diploma, the Advance Financial Planning Certificate, Mortgage Advisers Qualification and a Certificate of Equity Release. Adam has worked with regulators in four different countries, helping to train staff and sorting out client-related problems. A search on Youtube under Adam Samuel Hong Kong reveals a lecture he gave there as part of a programme of seminars he delivered for the Securities Institute there. As an expert witness on compliance, Adam has given evidence to the Supreme Court of Gibraltar and had his views adopted by the English High Court. Adam writes extensively on compliance including Consumer Complaints and Compensation, the only book in the UK on this subject.
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.