These programmes provide the core knowledge that is vital for those charged with the technical oversight of large complex financial services companies.
Senior management responsibilities
- An overview of regulatory responsibilities such as the FSA Handbook and systems and controls
- Key committees, vetting procedures and developing legislation
Understanding risk management
- Core knowledge needed to assess risk management structures, processes and techniques
- Risk Foundations and Enterprise Risk Management
- Credit Risk and Market Risk
- Operational Risk
An introduction to regulation for non-executive directors and senior managers
- Ensuring that all regulatory frameworks are adopted
- Prudential control – including Basel II and Solvency II
- Customer protection and conduct of business
- Financial crime
Preparing for an FSA ARROW inspection
- The purpose of the ARROW framework
- The key inspection types
- Planning for an ARROW visit
- Expectations of senior managers and directors
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