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Cohort Two Returns: Build Vulnerability Capability That Stands Up to FCA Scrutiny …
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£2,000.00 – £2,500.00
Date & Time: 23rd Sep 2026 (9:30) - 02nd Dec 2026 (12:30)
CPD: 18
Location: Virtual
Hear from leading industry experts on the key issues facing compliance professionals in the investment management and financial advice world. Bringing together a high-level audience who can engage with the experts, this conference will facilitate fruitful discussions with opportunity for questions and networking. …
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£275.00 – £630.00
Date & Time: 24th Sep 2026 (8:00 - 17:00)
CPD: TBC
Location: Herbert Smith Freehills Kramer
Non-Financial Misconduct (NFM) is now a boardroom issue. Workplace behaviours such as harassment, bullying, discrimination and abuse are, in the eyes of the regulator, indicators of a poor workplace culture, lacking diversity and inclusion in your firm. High-profile cases from the past year and the recent FCA D&I Consultation Paper (CP23/20) underscore that non-financial misconduct poses a significant business risk that needs addressing. …
£400.00 – £500.00
Date & Time: 29th Jan 2025 (10:00 - 12:00)
CPD: 2
Location: In Person
In this live, tutor-led online course, Richard Preece, Chair of PIMFA’s Operational Working Group, assists you to avoid the pitfalls firms make when drafting your self-assessment …
£400.00 – £500.00
Date & Time: 10th Feb 2025 (9:30 - 12:30)
CPD: 3
Location: In Person
In this online training session, you will examine good and bad examples of recent promotional campaigns and assess potential non-compliance with your current and future campaigns. By improving your grasp of good practice, you will be better prepared to protect your firm, brand reputation, and competitive advantage and respond rapidly to unexpected, consequential events. …
£300.00 – £400.00
Date & Time: 14th Oct 2025 (9:30 - 11:30)
CPD: 2
Location: Virtual
In this live, two-hour interactive, online training course Ocorian consultants reveal how wealth firms can effectively meet their obligations to detect and prevent market abuse, from setting adequate surveillance frameworks to ensuring they have appropriate governance arrangements in place. …
£275.00 – £300.00
Date & Time: 06th Nov 2025 (9:30 - 11:30)
CPD: 2
Location: Virtual
Join us for Session 3 of our Consumer Duty Series. Learn practical approaches to monitoring, evidencing, and embedding Consumer Duty across your organisation. …
Date & Time: 13th Nov 2025 (0:00 - 0:00)
Location: In Person
Start the series with practical insights on how to effectively test and evidence consumer outcomes under the FCA’s Consumer Duty. This session, led by PwC experts, will cover proven methodologies, data-driven approaches, and governance practices to help firms meet regulatory expectations and deliver good outcomes for clients. …
Date & Time: 13th Nov 2025 (0:00 - 0:00)
Location: In Person