Category: Regulation and Compliance
Course Level: Intermediate
Duration: 2 hours
Contact us for more information.This interactive two-hour workshop provides a fast-track overview of the T&C Sourcebook and some practical tools for its application within your firm.
The workshop is designed to give delegates the opportunity to discuss each area thoroughly.
Examples from the firm’s own records and documentation will be used wherever possible to facilitate discussion.
Objectives:
By the end of this workshop, delegates will have a greater understanding of:
- the FSA T&C regime
- how the regime applies to them and their team
- their individual responsibilities
- the importance of record keeping
- required recruitment and assessment policies
Course Content:
- Overview of the Financial Services & Markets Act 2000
- Role of the Financial Services Authority (FSA)
- Which functions are affected by T&C?
- Internal recruitment and appraisal procedures
- Supervising staff
This course would be suitable for:
- HR and training
- IT and software developers
- Legal & Compliance
- Senior managers
