Compliance, regulation and governance Details Page
The regulation and governance of financial services firms has become a topic of national discussion as a result of recent events. It seems likely that already complex regulatory domestic and international regimes will become even more stringent in the foreseeable future. ifs compliance, regulation and governance programmes can be developed for both compliance specialists or senior managers and provide essential understanding of the current regulatory responsibilities and compliance requirements in a wide variety of areas.
Topics include:
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Senior management responsibility
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Preparing for an FSA Arrow visit
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Conflicts of interest
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Approved persons
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Ethics
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Treating Customers Fairly
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Outcomes focused regulation
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Retail conduct of business
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Insurance conduct of business
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Wholesale markets conduct of business
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Retail distribution review
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Solvency II
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