TRAINING COURSE: COMPLIANCE MANAGEMENT & PRACTICE

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1 TRAINING COURSE: COMPLIANCE MANAGEMENT & PRACTICE 2nd December 2015 At DENTONS One Fleet Place, London, EC4M 7WS (Nearest Stations: City Thameslink, St. Pauls) FOCUSSING ON EFFECTIVE & EFFICIENT COMPLIANCE ORGANISED BY THE COMPLIANCE REGISTER Telephone: (01908) , Fax: (01908) Website:

2 TRAINING COURSE: COMPLIANCE MANAGEMENT & PRACTICE INTRODUCTION The Compliance Register, has since 1995, conducted practical compliance training for compliance professionals and senior executives. We are pleased to offer this event as part of our series for marks the 20 th anniversary of The Compliance Register. OBJECTIVES The objectives of this course are to train and assist compliance professionals to adequately perform their professional duties. Many, if not all enforcement cases have their roots in poor compliance arrangements and lack of proper policies and procedures to deal with operational compliance. At a time of increased regulatory aggressiveness and budgetary constraints, being able to manage the compliance function poses increasing challenges as the new regulatory regime evolves. TEAM OF SEASONED PROFESSIONALS Unlike other training events where you typically get just one person delivering the training, our courses are taught by a team of seasoned professionals. Accordingly, this course will be taught by a highly experienced team of practitioners. Attendees will have the opportunity to learn directly from compliance practitioners who have many years of experience and also participate in a carefully constructed case study. Documentation, lunch and refreshments will be provided. IMPORTANT NOTE: This course forms part of the Regulatory Compliance (RC) Certification Programme. To complete the RC Certification Programme, you also need to attend the course COBS course. For more details see page 4 of this brochure. Course Fee Fee VAT Total Per delegate: VAT has been applied at the rate of 20%. Reservations, Cancellations & Refunds Space is limited. To avoid disappointment, please complete and return the Registration Form by as soon as possible followed by your cheque in the post. If requested, we can also invoice you for payment. Places will be allocated on a first come first served basis based on receipt of your registration. Once you have submitted your registration, we will regard it as a firm booking to be followed by payment in full. No refunds will be made for cancellations but we will supply you with the presentations if you are unable to send a substitute delegate. A VAT receipt will be sent on request. Joining instructions will be sent by , so please make sure we have your address. The Compliance Register reserves the right to make changes to the programme, speakers or date of the course should the need arise. 2

3 TRAINING COURSE: COMPLIANCE MANAGEMENT & PRACTICE COURSE PROGRAMME 08.40: Registration & Coffee 08.55: Chairman s opening remarks Session : How to have effective and fit-forpurpose Compliance Arrangements. Speaker: Tony Bronk, Head of Compliance, Guaranty Trust Bank Session : The Evolution of the Regulatory Landscape and the Compliance function. Speaker: Ben Goh, Principal Consultant, Financial Services Compliance (FSC) MORNING COFFEE Session : Financial Crime Update Speaker: Emma Radmore, Senior Associate, Dentons Session : Building and Maintaining Constructive Relationships with Senior Management, Business Areas and Regulators. Speaker: Ben Goh, Principal Consultant, Financial Services Compliance (FSC) LUNCH Session : Understanding what is Conduct Risk; Identifying the risks; the role of Compliance; Practical steps to manage Conduct Risk. Speaker: Mark Spiers, Head of Wealth Management & Banks, Bovill 15.10: Afternoon Tea Session : Getting to Grips with FCA s SUP Manual Speaker: Michael Wainwright, Partner, Dentons Session : Case Study Session : Case Study discussion of main points : Conclusion Questions/Discussion This event should qualify for 6 hours CPD for the various professional bodies, we suggest you keep a copy of the conference programme for CPD purposes. 3

4 COMPLIANCE MANAGEMENT & PRACTICE PRACTITIONER CERTIFICATION PROGRAMMES The Compliance Register, together with Financial Services Compliance Limited, have been serving the needs of compliance professionals and firms since is our 20 th anniversary and marks a significant milestone in our development. Each training course can be taken on its own or as part of a Practitioner Certification programme. The following programmes are available:- 1. Financial Crime Compliance (FCC) Professionals Certification this requires attendance at one of the Financial Crime Compliance courses and the submission of course work within the agreed deadlines. 2. Regulatory Compliance (RC) Professionals Certification this requires attendance at two courses namely Conduct of Business (COBS) and Compliance Management & Practice (CMP) in the 2015 calendar year. 3. Certified Compliance Professional (CCP) to be awarded CCP status (the highest level of certification), you must hold both the FCC Certification and the RC Certification. All Certifications are valid for one year (excluding the year of award) and to be valid, must be renewed every two years. For example, Certifications gained in 2015 will need to be renewed in DOWNLOAD REGISTRATION FORM IN WORD You can download the event registration form in Word format, complete it and then ed it to [email protected] For the Event Code, use CMP. Click on the link below to download:- Alternatively, please use the form on the next page. 4

5 COMPLIANCE MANAGEMENT & PRACTICE 2nd December 2015 REGISTRATION FORM (Please photocopy this form as required.) Mr, Mrs, Miss or Title Surname First Names Position Company Address Town Postcode Telephone Fax address Please describe any special dietary requirements. IMPORTANT NOTES 1. Please make all cheques payable to The Compliance Register Limited and crossed A/C Payee Only. We can also invoice you for payment either by cheque or by BACS transfer please request this in your covering Registration Forms should be sent by to or fax to initially followed by the original and cheque in the post to:- Ben Goh, Chairman, The Compliance Register, Enterprise House, P O Box 843, Greenleys, Milton Keynes, MK12 6YZ, United Kingdom. 3. If you have any queries, please contact Ben Goh by telephone, direct line: (01908) Updated versions of this brochure will be available: Information in this brochure is as known on 10 August IMPORTANT NOTICE: REFUNDS POLICY Please note there will be no refunds for cancellations or non-attendance. You are welcome to send a substitute delegate. We will supply you with the course documentation should you be unable to send a substitute delegate.. E & O E 5