On-Demand Training: Core Compliance Disciplines in a Remote Working World

April 29, 2020 by Bobby Johal, Martin Lovick, Andrew Poole


In the current environment created by the COVID-19 pandemic, remote working (usually from home) has become the new norm. Firms and their staff must adapt to fresh challenges but not overlook core business disciplines. Compliance systems and controls must be flexible in approach yet unswervingly robust in application.

We recently hosted a complimentary training webcast designed to help ensure that staff, regardless of their role, do not forget their core compliance responsibilities during this period, covering:

The regulatory backdrop

  • FCA expectations
  • Forbearance
  • Identified areas of risk
     

Expectations of senior management and staff

  • Governance
  • Conduct rules
  • Market abuse
  • PA dealing and OBIs
     

Best practices for firm-wide systems and controls

  • Business continuity
  • Fraud
  • Risk management
  • Capital adequacy
  • Investor communication
  • Raising new assets
     

Download an on-demand recording of the webcast to learn more. This training can form part of your annual compliance training records and we can provide a certificate of attendance, if required.


Watch On-Demand Now