Roles of Compliance Officer and Money Laundering Reporting Officer Workshop

Introduction

Recent FCA enforcement cases highlight the importance of upholding the high standards set by the FCA across the financial services industry and show that the FCA will not hesitate to take robust action against firms who do not maintain the standard expected of them. Holders of the Compliance Oversight (CF10) and Money Laundering Reporting (CF11) functions have independent roles within a firm, but have a significant importance in its running, which brings wider regulatory obligations in relation to them. They are the ones in charge of the general operation of the firm's Compliance and its related activities to ensure orderliness and integrity of the firm. Furthermore, amongst others, their main duty is to act with due skill and care. The CF10 and CF11 holder must ensure that the firm is complying with all the relevant regulations and that any suspicious transactions are monitored and reported.

This workshop will provide CF10 and CF11 holders a broad overview of how the FCA operates, covering the FCA's approach to rules and regulations, any latest regulatory developments, the FCA Handbook, and various regimes including Conduct of Business, Senior Management Arrangements, Systems and Controls, Approved Persons, Fitness and Propriety, Market Abuse and Anti-Money Laundering.

Key Learning Objectives:

  • Definition of CF10 & CF11
  • Authority and independence
  • Responsibilities and duties
  • Records

Who should attend?

  • Newly appointed compliance oversight officers and money laundering reporting officers.
  • Board of Directors
  • Compliance assistants
  • Anyone working a in financial services regulated firm requiring knowledge of the subject.

Duration

3 hour session

Schedule and Price

  • 2017 Dates:
    • 26th January
    • 23rd March
    • 18th May
    • 20th July
    • 21st September
    • 23rd November
  • Time: 09:00 to 12:00
  • Location: 3 Beeston Place, Belgravia, London SW1W 0JJ
  • Price: £350 plus VAT and a 10% discount for more than one person from a single firm.
  • Please Note: Maximum of eight participants per workshop.

All attendees will receive a participation certificate with the workshop date and times, attesting to their participation in the workshop.

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