Category: Regulation and Compliance
Course Level: Introductory to Intermediate
Duration: 3 hours
Contact us for more information.This 3-hour workshop is aimed at those in compliance, learning and development, marketing and operations who are responsible for making the necessary changes to embed TCF into the reality of business-as-usual.
The workshop will be highly participative. Real-life examples and the opportunity for group discussions will allow the delegates to consider industry best practice and how it can be embedded into the culture of their firm.
Objectives:
By the end of this course, delegates will have a greater understanding of:
- What the FSA's TCF policy really means
- Necessary review procedures
Course Content:
- Principles of business
- Recruitment and remuneration policy review
- T&C policy
- Complaints handling procedures
- Identification procedures for AML purposes
- Fact finds
- Sales process procedures
- Building a TCF framework
This course would be suitable for:
- Approved Person
- Client services and call centres
- HR and training
- Investment administration and operations
- Investment professionals
- Legal & Compliance
- Sales and marketing
- Senior managers
