Compliance Monitoring Workshop

Introduction

This workshop is designed to be delivered in-house to a Compliance and Risk team at a Financial Services firm regulated by the FCA, under the IPRU-INV (MIFID or CAD exempt), BIPRU or IFPRU regimes. It is structured to enable attendees to match the firm's compliance monitoring activities to three specific areas:

  • the expectations of the FCA of a firm operating within its regime;
  • the expectations of the FCA of a firm operating with the permissions for which the firm is authorised; and
  • checking the firm's business model is aligned to its compliance infrastructure.

Prior to the workshop, the firm will deliver the key elements of its compliance and governance infrastructure to enable MPAC to tailor the workshop to the firm's business model, enabling the attendees to maximise the benefit from this training.

The workshop will be split into two half day sessions, exploring all the facets of the firm's business model and how the compliance team can construct an effective monitoring programme to maximise the awareness of the Risk and Compliance functions of the management of the firm's compliance and regulatory risks.

The workshops are therefore applicable to the following personnel from a regulated firm:

  • Members of the firm's governing body with responsibility for ensuring the firm's SYSC arrangements are robust; /li>
  • The Head of Risk and members of the Risk team;
  • Internal Audit function;
  • CF10
  • CF11
  • Members of the Compliance team, including those with responsibility for Compliance Monitoring; and
  • In the event that the firm is a member of a Group, Group Risk personnel.

Key Learning Objectives:

  • Second line of defence and challenge to the business (first line of defence);
  • Understanding why Compliance Monitoring is an essential risk management function;
  • How Compliance Monitoring fits into the Governance function of the firm;
  • Building more effective Compliance Monitoring of your firm

Duration

Two half day sessions. The workshop will be delivered only on request, and is tailored to a single firm or group.

Price

  • Price:£500 per attendee plus VAT. For more than six attendees from the same firm/Group of companies, a discount would be applied.
  • Please Note: Maximum of twelve participants per workshop.
  • Location: The workshop will be conducted at the client's premises.

All attendees will receive a participation certificate, attesting to their participation and may be used towards their CPD hours at a firm's discretion.

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