- 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.
Complete Financial Promotions
24th April 2018
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 judgment calls in practice.
CISI accredited - 4 hours CPD
Location: 10 Queen Street Place
Format: Half-day training (AM)
Cost: £425 plus VAT
Product design best practice
10th May 2018
With a backdrop of PRIIPS and MiFID II, this round table will explore what's required of the product design team now and how that feeds into the wider business, client base and intermediaries.
Location: 10 Queen Street Place
Format: Afternoon round table, 2.30pm to 4pm
Cost: Free
Compliance Officer 101
23rd May 2018
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 - 6 hours CPD
Location: 10 Queen Street Place
Format: Full day training
Cost: £625 plus VAT
Making an impact with compliance
6th June 2018
Our first round table for impact finance will bring together those with compliance oversight responsibilities (such as Compliance Officers) within social impact investment organisations, to explore the most relevant regulatory topics for the sector and share ideas and challenges for implementation.
Location: 10 Queen Street Place
Format: Afternoon round table, 2.30pm to 4pm
Cost: Free
Complaints Handling training
7 June 2018
With firms having to treat more communications as complaints than ever before, acting with confidence around complaints is of real value. This half day workshop gives you 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: All day training
Cost: £425 plus VAT
New prudential regime for Investment Firms
July 2018 (exact date TBD)
This half-day workshop combines training and practical implementation planning for compliance officers, finance directors and senior management needing to understand the detail of the new prudential regime for those firms that are neither banks nor systemically risky.
Location: 10 Queen Street Place
Format: Half-day workshop (exact date TBD)
Cost: £425 plus VAT
Anti-Financial Crime training
June 2018 (exact date being finalised)
This half-day's training provides an overview of all 5 areas of financial crime that the FCA requests firms focus on. We will cover the technicalities of the regimes, look at good and bad practice in firms and explore the role of compliance and the MLRO in preventing financial crime from occurring. The range of topics include 1) anti-money laundering (AM)L with counter-terrorist financing (CTF) sanctions 2) insider dealing and market abuse, 3) bribery, 4) fraud and 5) data security.
Location: 10 Queen Street Place
Format: Half-day training
Cost: £425 plus VAT
