- Upcoming EventsCompliance training, workshops and events
As well as running bespoke courses for individual clients, we also host general and sector-specific events. This includes everything from briefings that put new themes and issues on your radar, through to deep-dive training that gives you all the knowledge you need to tackle a thorny regulatory issue, or to feel more confident in your role.
We are accredited by the CISI as an endorsed CPD training provider. This reflects the quality of our materials, delivery and of course our presenters. Click here to find out more.
Our training sessions cover hot new topics, as well as core topics that clients want to regularly revisit and stay on top of.
We use our briefings to introduce new themes and issues, and round tables for discussing the impact of changes on the industry.
Below you'll find details of our upcoming events, and how to book if you'd like to get involved.
Alternatively, contact us for a bespoke session!
Whether it's a 1-2-1 or a firm-wide session, we make sure you get real value out of the time you spend on the course by creating content specific to your business.
Compliance 101
14 February 2019
A one-stop shop for Compliance Officers and other compliance professionals, covering both the technicalities and practicalities of the regime. This course will cover the regulatory requirements of firms and how that drives the role of compliance, together with how compliance officers manage their role in practice.
CISI accredited - 7 hours CPD
Location: 10 Queen Street Place
Format: Full day training
Cost: £625 plus VAT
Capital changes ahead
25 February 2019
While not implemented until 2020, the capital changes for investment firms should be on your radar and, particularly if you are an exempt CAD firm, is a development that needs planning for.
This webinar will give an overview of what's in store and what you need to do.
Location: Webinar
Time: 11.00am to 12.00pm
Cost: Free
SM&CR planning for HR professionals
7 March 2019
This workshop is designed specifically for HR specialists, who will play an increasingly important role in the implementation of the new Senior Managers & Certification Regime within their firms.
You can expect some technical detail, insight into the FCA’s approach to individual accountability and culture within firms, and come away with tips and tools to help you plan your firm’s transition from the Approved Persons regime to SM&CR
CISI accredited - 4 hours CPD
Location: 10 Queen Street Place
Format: Half-day workshop
Cost: £425 plus VAT
Complaints Handling training
11 March 2019
This half day workshop is designed for FCA regulated firms who have individuals as clients or investors.With firms having to treat more communications as complaints than ever before, acting with confidence around complaints is of real value.This session will provide you with everything you need to know about the new rules for complaints handling, including dealing with them internally, what to do when they escalate to FOS. We'll also look at how to get the most out of your monitoring and root cause analysis.
CISI accredited - 3 hours CPD
Location: 10 Queen Street Place
Format: Half-day training (AM)
Cost: £425 plus VAT
Anti-Financial Crime training
26 March 2019
This half-day's training covers all 5 areas of financial crime that the FCA requests firms focuson:
- Money laundering including terrorist financing and sanctions
- Bribery
- Insider dealing and market abuse
- Fraud
- Data security.
We cover the technicalities of the regimes, look at good and bad practice and explore the role of compliance and the MLRO in preventing financial crime from occurring. We also provide updates on the latest changes such as 5MLD and the Criminal Finances Act.
CISI accredited - 3 hours CPD
Location: 10 Queen Street Place
Format: Half-day training (AM)
Cost: £425 plus VAT
Complete Financial Promotions training
4 April 2019
This workshop is designed for compliance and marketing professionals involved in the preparation or sign off of financial promotions, from long-form brochures to snappy social media posts. We will explore the regime including the restriction on making promotions, the exemptions and how to make the content compliant. You can expect technical detail, insights into the FCA's approach and how to make judgement calls in practice.
CISI accredited - 3 hours CPD
Location: 10 Queen Street Place
Format: Half-day training (AM)
Cost: £425 plus VAT
Anti-Financial Crime training
9 April 2019
This half-day's training covers all 5 areas of financial crime that the FCA requests firms focuson:
- Money laundering including terrorist financing and sanctions
- Bribery
- Insider dealing and market abuse
- Fraud
- Data security.
We cover the technicalities of the regimes, look at good and bad practice and explore the role of compliance and the MLRO in preventing financial crime from occurring. We also provide updates on the latest changes such as 5MLD and the Criminal Finances Act.
CISI accredited - 3 hours CPD
Location: 10 Queen Street Place
Format: Half-day training (AM)
Cost: £425 plus VAT
SM&CR planning for Compliance and Managers
2 May 2019
This workshop is for senior managers and compliance officers, who will be leading their firm’s transition to and implementation of the new Senior Managers & Certification Regime.
You can expect technical detail, insight into the FCA’s approach to individual accountability and culture within firms, plus tips and tools for successful implementation. You will also leave having started you plan your firm’s transition to SM&CR.
CISI accredited - 4 hours CPD
Location: 10 Queen Street Place
Format: Half-day workshop
Cost: £425 plus VAT
Compliance 101
7 May 2019
A one-stop shop for Compliance Officers and other compliance professionals, covering both the technicalities and practicalities of the regime. This course will cover the regulatory requirements of firms and how that drives the role of compliance, together with how compliance officers manage their role in practice.
CISI accredited - 7 hours CPD
Location: 10 Queen Street Place
Format: Full day training
Cost: £625 plus VAT
Complaints Handling training
13 June 2019
This half day workshop is designed for FCA regulated firms who have individuals as clients or investors.With firms having to treat more communications as complaints than ever before, acting with confidence around complaints is of real value.This session will provide you with everything you need to know about the new rules for complaints handling, including dealing with them internally, what to do when they escalate to FOS. We'll also look at how to get the most out of your monitoring and root cause analysis.
CISI accredited - 3 hours CPD
Location: 10 Queen Street Place
Format: Half-day training (AM)
Cost: £425 plus VAT
Complete Financial Promotions training
17 June 2019
This workshop is designed for compliance and marketing professionals involved in the preparation or sign off of financial promotions, from long-form brochures to snappy social media posts. We will explore the regime including the restriction on making promotions, the exemptions and how to make the content compliant. You can expect technical detail, insights into the FCA's approach and how to make judgement calls in practice.
CISI accredited - 3 hours CPD
Location: 10 Queen Street Place
Format: Half-day training (AM)
Cost: £425 plus VAT
Compliance 101
12 September 2019
A one-stop shop for Compliance Officers and other compliance professionals, covering both the technicalities and practicalities of the regime. This course will cover the regulatory requirements of firms and how that drives the role of compliance, together with how compliance officers manage their role in practice.
CISI accredited - 7 hours CPD
Location: 10 Queen Street Place
Format: Full day training
Cost: £625 plus VAT
Complaints Handling training
10 October 2019
This half day workshop is designed for FCA regulated firms who have individuals as clients or investors.With firms having to treat more communications as complaints than ever before, acting with confidence around complaints is of real value.This session will provide you with everything you need to know about the new rules for complaints handling, including dealing with them internally, what to do when they escalate to FOS. We'll also look at how to get the most out of your monitoring and root cause analysis.
CISI accredited - 3 hours CPD
Location: 10 Queen Street Place
Format: Half-day training (AM)
Cost: £425 plus VAT
Anti-Financial Crime training
31 October 2019
This half-day's training covers all 5 areas of financial crime that the FCA requests firms focuson:
- Money laundering including terrorist financing and sanctions
- Bribery
- Insider dealing and market abuse
- Fraud
- Data security.
We cover the technicalities of the regimes, look at good and bad practice and explore the role of compliance and the MLRO in preventing financial crime from occurring. We also provide updates on the latest changes such as 5MLD and the Criminal Finances Act.
CISI accredited - 3 hours CPD
Location: 10 Queen Street Place
Format: Half-day training (AM)
Cost: £425 plus VAT
Complete Financial Promotions training
6 November 2019
This workshop is designed for compliance and marketing professionals involved in the preparation or sign off of financial promotions, from long-form brochures to snappy social media posts. We will explore the regime including the restriction on making promotions, the exemptions and how to make the content compliant. You can expect technical detail, insights into the FCA's approach and how to make judgement calls in practice.
CISI accredited - 3 hours CPD
Location: 10 Queen Street Place
Format: Half-day training (AM)
Cost: £425 plus VAT
To find more dates or book a bespoke session, contact BWBcompliance@BWBllp.com.
- Our Roundtable Series -
We run roundtables for different parts of the industry where we have found there is particular value for participants in coming together and sharing ideas about how to approach issues and opportunities within their firms. These are aimed at compliance officers, general counsels and senior management.
Please note that spaces may at times be limited and priority will be given to active clients.
Impact roundtable series
Our round tables for the impact sector are available to anyone responsible for compliance in firms that are focussed on social and environmental impact. Past topics have included SM&CR, suitability and financial promotions restrictions.
The purpose of the roundtable series is to share thoughts on how topics of interest are affecting different firms with the Impact sector. There are run under Chatham House rules and everyone is encouraged to contribute as much as they are able.
If you would like to be invited to the series, please contact Becky Claydon on r.claydon@bwbllp.com.
VC/ PE roundtable series
We run many roundtables for the Venture Capital and Private Equity sectors, focussing in on hot topics for the sector. Past topics have included powers of attorney and preparing for the arrival of key information documents.
The purpose of the roundtable series is to share thoughts on how topics of interest are affecting different firms with the Impact sector. There are run under Chatham House rules and everyone is encouraged to contribute as much as they are able.
If you would like to be invited to the series, please contact Gillian Roche-Saunders on g.roche-saunders@bwbllp.com.
P2P / crowdfunding roundtable series
We run roundtables for P2P and/ or crowdfunding platforms when hot topics arise such as the FCA's review of the industry.
The purpose of the roundtable series is to share thoughts on how topics of interest are affecting different firms with the Impact sector. There are run under Chatham House rules and everyone is encouraged to contribute as much as they are able.
If you would like to be invited to the series, please contact Gillian Roche-Saunders on d.chadderton@bwbllp.com.
