- email:custserv@infoline.org.uk
- phone:+44 (0) 20 7017 7702
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Introduction to
FSA Regulation & Compliance
Including Industry Case Studies & Examples of Good Practice
14 - 15 March 2012
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A comprehensive and practical introduction to FSA regulation, supervision and compliance
Benefit from participating in this unique and comprehensive 2 day FSA regulation and compliance workshop
Specifically, attending this course will help you to:
- Understand FSA Supervision and Enforcement
- Hear how the FSA regulates and what to expect from a themed inspection visit
- Discuss the FSA’s outcome-focused approach and the impact of Treating Customers Fairly (TCF)
- Gain practical insight into the Approved Persons Regime
- Understand the regulatory expectations of Training & Competence (T&C)
- Learn about the Anti-Money Laundering Regime and its practical implications for your firm
- Address the regulatory and legal environment for Financial Crime
- Examine the risk assessment and monitoring tools available, and how to best apply them
- Identify key regulatory risks in the areas of Financial Promotions and Complaints Handling
- Produce useful Management Information that fulfils regulatory requirements
Download the latest agenda for Introduction to FSA Regulation & Compliance course here
IN-HOUSE TRAINING: Hold This Course at Your Convenience
This programme, or selected elements of it, can be delivered at a time, location and pace to fit your business schedule.
In-house training can be tailored to focus on the specific needs and challenges facing your staff. We will develop and provide all course materials andtrainers to make your investment a success. Your staff will also save time and traveling expenses.
For details on in-house training for this particular course, please telephone Richard Horsler on +44(0)20 7017 5948 or email richard.h@infoline-uk.com
Media Partners:
Workshop Leader:
Charles Meade-King is a solicitor and compliance professional with over 25 years experience in the financial services industry. During this time Charles has developed considerable expertise in risk management, compliance, company secretarial, legal services and general management. He has been responsible for compliance teams, as well as Training and Competence and training functions, and successfully undergone many regulatory inspection visits. Charles is able to offer an unusual blend of legal training, management skills and considerable experience of providing practical solutions consistent with effective risk management and a successful sales culture. Charles’s principal area of expertise is in the retail sector covering investments, mortgages and general insurance. Charles is member of the Law Society, a Fellow of the Compliance Institute and a director and Council Member of the Association of Professional Compliance Consultants.
Delegate testimonials for Infoline's introductory FSA compliance courses
"Excellent, knowledgeable speaker. The course was light hearted but highly informative and enjoyable."
