Introduction to Compliance & Regulation

Webinar Overview 

This interactive seminar is ideal for anyone who wishes to understand the important specialised disciplines of compliance and financial regulation within securities firms. It will explain what the terms mean and how they impact financial services firms. You will learn the scope of compliance and financial regulation and how firms handle these on an ongoing basis.

The following topics will be covered: 

• The UK Regulatory Environment
• The FCA and PRA
• The Financial Services and Markets Act 2000 and the Financial Services Act 2012
• The FCA's Conduct of Business and Clients Assets Sourcebooks
• Associated Legislation and Regulation

Who should attend?

This seminar will be of benefit to all compliance personnel, including new entrants in a compliance environment, internal audit staff and those involved in providing services and systems to regulated firms. It will also be of use to those working in operations departments and IT who need a better understanding of compliance and financial regulation. 

CPD

A CPD certificate will be provided to all attendees, which may be considered appropriate by your company for the accrual of CPD hours. This session will qualify for 2 CPD hours.