Upcoming Events

The FCA's review of the crowdfunding and P2P lending industry has finally arrived. Following on from our summer webinar on the subject, these round tables will explore in more depth the impact of particular changes to your business model.

They are aimed at compliance officers, general counsels and senior management with P2P lending and crowdfunding platforms. Those who registered will shortly receive an invite to the round table discussion(s) most pertinent to their particular business model or concerns.

Location: 10 Queen Street Place

Format: Afternoon round table, 2pm to 4pm

Cost: Free

Request an invitation here

This event is fully booked and a new date will be announced shortly.

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

Find out more and register

This event is fully booked and a new date will be announced shortly.

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 - 4 hours CPD

Location: 10 Queen Street Place

Format: Half-day training (AM)

Cost: £425 plus VAT

Find out more and register

This event is fully booked and a new date will be announched shortly.

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 - 4 hours CPD

Location: 10 Queen Street Place

Format: Half-day training (AM)

Cost: £425 plus VAT

Find out more and register

Following the success of our first Compliance Officer’s roundtable meeting for the social impact investing sector, we are delighted to be hosting our second roundtable event in September. This afternoon roundtable will focus on the FCA’s recently announced Senior Managers and Certification Regime near-final rules.

Location: 10 Queen Street Place

Format: Afternoon round table, 2.30pm to 4pm

Cost: Free

Express your interest here

Following on from our summer SM&CR overview, this webinar will look at what FCA regulated firms can learn from how PRA regulated banks and other institutions implemented the rules.

Location: Webinar

Time: 11.00am to midday

Cost: Free

Find out more and register

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: 10.30am to 11.30am

Cost: Free

Find out more and register

This workshop is designed specifically for HR specialists, who will are integral to successful implementation of the new Senior Managers & Certification Regime within their firms, but may not be as familiar with the regulatory framework.

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

Find out more and register

This event is fully booked and a new date will be announched shortly.

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.

Location: 10 Queen Street Place

Format: Half-day training (AM)

Cost: £425 plus VAT

Find out more and register

A one-stop shop for Compliance Officers and other compliance professionals, covering both the technicalities and practicalities of the regime.This workshop 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.

We run these days as small workshops, limiting numbers so that attendees can ask questions relevant to their firm and engage with each other as well as with us throughout the day.

CISI accredited - 4 hours CPD

Location: 10 Queen Street Place

Format: Full-day training

Cost: £625 plus VAT

Find out more and register