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| Credit Analysis | View All In-house Training Agendas |
| Pre-Course
Online Study |
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Insider Dealing
and Market Abuse |
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Fraud and Regulatory
Bodies |
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Approved Persons |
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Chinese Walls |
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| The objective of this programme is to provide the various
departments of an organisation with an overview of the
regulatory changes and developments. You will navigate
topics such as the history of compliance, specific implications,
market abuse, e-commerce and legal regulations. |
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- UK Regulation
- The Financial Services and Markets Act
2000
- The Financial Services Authority, function,
duties and powers
- Investment business in the UK
- The regulatory structure - other relevant
bodies
- Co-operation between regulators
- Approved Persons
- Who requires approved person’s status
- Scope and extent of duties
- Implications for institutions
- Financial Promotion
- Definition and nature
- The statutory requirements
- FSA rules
- Excluded activities
- Customer Requirements
- Categories of client
- Conflicts of interest
- Communications with customers
- Exclusion clauses
- Suitability
- Standards of advice
- The customer’s understanding of risk
- Product particulars
- Cancellation rights of clients
- Timely execution and best execution
- Timely allocation
- Dealing ahead, churning and switching
- The Inter-Professional Code
- To whom does it apply?
- Key principles
- Requirements
- FSA involvement
- The Non-investment Products Code
- To what does the code apply?
- Standards required
- Controls
- Statements of good practice
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- Market Abuse
- The nature of the offence
- Which activities are not permitted?
- The FSA Code of Market Conduct
- FSA investigations so far
- Civil fines
- The forthcoming Market Abuse Directive
and probable legal developments
- Covariance and Correlation
- Who is laundering money and how do they
do it?
- The legal requirements
- The FSA’s requirements
- Obligation to vet customers and report
suspicious matters
- Apparent contradictions between the laundering
requirements and the Data Protection Act
- what should be done?
- Civil law issues
- Should you adopt the Wolfsberg principles?
- FSA Enforcement
- Information gathering and investigations
- Decision making
- Enforcement actions
- Contract Provisions for Trades and Fiduciary
Duties
- Formation of contracts
- Rights of third parties
- Trading as agent
- Issues in US Regulation
- Basic difference between US and UK regulation
- Key points of US investment regulation
- Overview of federal and state regulatory
systems
- The Patriot Act and the long arm reach
of US law
- E-commerce
- Regulation
- International aspects
- Electronic signatures
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