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UK Europe, EMEA WAT Time Zones
CPEs:
32
Instructor:
Dennis Cox FCA AIIA FCSI FRISM
Level:
Introductory / Refresher
Tuition:
£2,995.00
NEW CISI UK Financial Regulations CPR021
Location: UK Europe, EMEA WAT Time Zones
First Date: May 28 - 31, 2024
Duration: 4 days including 1/2 day Revision & Mock Exam
Programme Director: Dennis Cox CISI Exam Prep Tutor
All Dates & Locations
Venue Details
Experience the highly-interactive expert-led social learning through Virtual Classroom via Cisco WebEx from Risk Reward.
All our 2024 Live onsite and live Virtual Classroom events feature shared (or discrete) live chat between delegates and the expert, participate in topical surveys, polling questions, group exercises and case studies for a tried -and- true engaging and gratifying learning experience.
Need to certify your entire department, bring this course in house for a small team, 1:1 or face to face, or on-site? Simply contact us for significant cost savings and dates to meet your specific business requirements.
"{The trainer] was very knowledgeable and able to give opinions across a wide variety of subjects. Very well informed. "Risk Director, Japanese Bank, New York
Agenda Highlights
Session 1: the Regulatory Environment
Session 2: The Financial Services and Markets Act 2000 and Financial Services Act 2012
Session 3: Associated Legislation and Regulation
Session 4: The FCA Conduct of Business Sourcebook/Client Assets
Session 5: Complaints and Redress
"Very engaging and a friendly environment. Thank you Paul."IT Director, Nordea, Copenhagen
Overview
Training to this fundamental understanding of financial regulation and the CISI qualification underpins the key regulations in the UK’s Financial Sector from the broad perspective of the regulatory environment to the Conduct of Business Sourcebook (COBS) rules.
This course is relevant for both the Capital Markets Programme and the Investment Operations Certificate.
Who Should Attend
Training to this central qualification is essential for anyone taking the CISI Capital Markets Programme or the Investment Operations Certificate (IOC) and also appropriate to anyone who requires a general understanding of UK Financial Regulations.
Additional Course Information
What Does It Cover?
The Regulatory Environment
- The role of the FCA and PRA
- The Regulatory Infrastructure
The Financial Services and Markets Act 2000 and Financial Services Act 2012
- Regulated and Prohibited Activities
- Performance of Regulated Activities
- Information Gathering and Investigations
- Regulated Activities 2.5 Miscellaneous offences under FSA 2012
Associated Legislation and Regulation
- Insider dealing
- Market abuse
- Money laundering
- Model Code
- Disclosure and Transparency rules
- Data Protection Act 1998
- Relevant European Regulation
- Prudential Standards
The FCA Conduct of Business Sourcebook / Client Assets
- The application and general provisions of the FCA Conduct of Business Sourcebook
- Accepting clients
- Communicating with clients, including financial promotions
- Suitability
- Product disclosure and the client’s right to cancel
- Dealing and managing
- Reporting to clients
- Client Assets
Complaints and Redress
- Customer complaints
Learning Objectives
The purpose of this four- day course, including half- day mock exam and review, is to equip delegates with the essential and necessary knowledge – and where needed – exam techniques to prepare them to sit and pass the exam for this CISI qualification.
Delegates will gain specialist technical and behavioural knowledge in an ‘on-the-job-training’ style by a professional CISI subject matter expert and trainer, which can be applied to the workplace immediately.
Social Learning & Methods
Highly interactive expert-led intensive presentation, Q&A, group real-time in-depth case studies, regulation and discussion supported by key principles and theory. The virtual learning platform uses safe, industry preferred encrypted Cisco WebEx to optimize live face-to-face visual interaction, discrete chat, for polling and quizzes.
(An invitation via email with access link is included for all participants.)
Registration
NEW CISI UK Financial Regulations
Course Fee
Apply 10% discount code RISK10 by December 15, 2023 at check-out
Course Fee (per person):
GBP £2,995.00 (+ UK VAT when applicable)
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