Compliance Overview
Instructor-led session
This course works as a great introduction or a timely reminder of some of the responsibilites we face when working for a regulated firm. The content can be tailored to cover any areas of concern or importance.
This course is delivered by an ex-Senior Associate at the Financial Conduct Authority.
Areas covered include:
- Working for a regulated firm
- Introduction to some of the key compliance areas
- ESG and why it matters
- Examples of where it has gone wrong
