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MONTH 1 March |
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5th & 11th |
Vulnerable Clients 5th BOOK HERE 11th BOOK HERE
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18th |
FCA Compliant
Complaints Handling |
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18th & 26th |
TCF and suitability of
advice 18th BOOK HERE 26th BOOK HERE |
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26th |
Anti Money Laundering revisited for SMF 17’s. |
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5th & 11th |
Data Protection Officer training 5th BOOK HERE 11TH BOOK HERE |
MONTH 2 April |
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16th 23rd
30th |
Director and Supervisor training, including sign off for FCA purposes (you need to attend all three days to get
accreditation.) |
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8th & 16th |
Pensions technical –
new developments in Pension work, GAR transfers |
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8th,23rd & 30th |
Compliance officer
training course for SMF16 |
The key functions of a supervisor in the commercial and regulatory financial services
environment.
This Live Online programme is a 5 session course that
consists of 4 live tutorials each lasting 90 minutes
Attendees must attend all three to qualify for certication.
Free to members. £200 non members.
https://www.eventbrite.co.uk/e/director-and-supervisor-training-tickets-141135974499
A refresher training including qualification for AML role as
an SMF17. Understanding of the rules and
compliance processes surrounding anti money laundering issues in the
commercial and regulatory financial services environment.
This Live Online programme is a 1 session course that consists of 1 live tutorial lasting 120 minutes
Reporting of suspicion
Assessment of money laundering risks and the application of due diligence measures in higher risk situations (eg PEPs [politically exposed persons])
Course held on each of March 26th
starts at 2pm until 4pm
https://www.eventbrite.co.uk/e/140096639821/
An interactive and engaging online course on GDPR for staff
working in financial services.
Understanding of the rules and compliance processes
surrounding GDPR issues in the commercial and regulatory financial services
environment.
This Live Online programme is a 1 session course that
consists of 1 live tutorial lasting 60 minutes .
Held on 5th March at 9am until 10am.
Held on 11th March at 2pm to 3.30pm
On completion all who pass the exam will be equipped to act as the firm’s Data Protection Officer.
An interactive and engaging online course on vulnerable
clients for staff working in financial services.
Understanding of the rules and compliance processes
surrounding the treatment of vulnerable clients in the commercial and
regulatory financial services environment.
This Live Online programme is a 1 session course that consists
of 1 live tutorial lasting 60 minutes .
and
11th March at 9am until 10.30am including exam.
https://www.eventbrite.co.uk/e/vulnerable-clients-tickets-141125629557
An interactive and engaging online course on Pensions
technical, to be pitched at an advanced level, and delivered by technical
transfer specialist.
This Live Online programme is a 1 session course that
consists of 1 live tutorial lasting 60 minutes.
Same course held each week.
Certificates will be provided for all who attend.
and
Held on 16th at 2pm to 3.30pm.
90 minute course, same course each week.
An interactive and engaging online course on Compliance,
delivered by compliance specialist.
This Live Online programme is a 4 session course that consists of 4 live - interactive tutorials lasting 90 minutes, and covers the following
Held on 8th, 23rd and 30th April at 2pm to
3.30pm
90 minute course - three sessions over three weeks.
Understand the FCA’s expectations, good practice / avoid
poor practices
90 minute sessions on morning of March 18th, starts at 9am until 10.30am
90 minute sessions - same session each day.
On morning of March 18th, starts at 9am until 10.30am
On morning of March 26th, starts at 9am until 10.30am