Events

Presenter: Peter Haines, CCL Academy

The FCA's latest findings on Culture and Non-Financial Misconduct have revealed a rise in the number of reported Non-Financial Misconduct incidents. At this stage, it is unclear whether this is due to more incidents having taken place or a greater willingness to report them. 

The FCA will be releasing further analysis of their findings over the next few months.

In this webinar, Peter Haines, Director of GRC Training at CCL Academy, offers practical guidance on how Senior Management should approach the challenge of Non-Financial Misconduct in financial services firms.

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Presenters: CCL Academy and Waystone Compliance Solutions

We'll soon be announcing the date of our next Compliance Update: Breakfast Briefing in partnership with Waystone Compliance Solutions. Attendees will hear from expert compliance trainers and professionals as they provide updates on some of the recent changes in regulation. Sign up for our newsletter for more.

Presenter: Bruce Viney, CCL Academy

The FCA recently published findings of its review on how effectively firms are following its 2017 Guidance on the treatment of Politically Exposed Persons (PEPs).

PEPs represent a high risk for AML and CTF purposes and firms are expected to take a risk-based approach to managing PEPs.  The FCA review represents concerns that firms have not managed PEP risk in a consistent way and in accordance with their 2017 Guidelines.  By attending this webinar you will gain a clear understanding of the expectations of the FCA and how you can apply these within your firm.

This webinar is intended for anyone who has oversight of AML/CTF regimes in firms, including those responsible for signing off on PEP relationships. 

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Presenters: Nigel Sydenham and Peter Haines 

Sheldon Mills, Executive Director at the FCA, has described price and value as “Perhaps the most challenging outcome … for firms to meet”.

In this webinar, Peter Haines and Nigel Sydenham explore the FCA’s expectations regarding price and value and some of the reasons why it can present such a challenge for firms, as well as suggesting some practical points for firms which are reviewing their approach.

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Presenter: Nigel Sydenham, CCL Academy

The FCA has recently published the results of a multi-firm review of Consumer Duty outcomes monitoring. In this webinar, Nigel Sydenham explores the review findings, and what they tell us about the FCA’s expectations.

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Presenters: CCL Academy and Waystone Compliance Solutions

Come along to our next Compliance Update: Breakfast Briefing in partnership with Waystone Compliance Solutions and hear from leading compliance consultants and trainers as they provide updates on some of the recent changes in regulation, including the latest on the Consumer Duty, the new anti-greenwashing rule, and more.

Presenter: Nigel Sydenham and Peter Haines, CCL Academy

The FCA has made clear that many firms still have more to do in relation to the identification and support of vulnerable customers. By attending this webinar you will gain insight into the way in which vulnerability impacts on all of the Consumer Duty outcomes, as well an awareness of some of the practical challenges firms face in meeting the regulator’s expectations.

This webinar is intended for board members, Compliance Officers and others who have responsibility for ensuring that their firm is treating vulnerable customers fairly.

Presenter: Nigel Sydenham and Peter Haines, CCL Academy

Training plays a vital role in embedding the Duty within firms. By attending this webinar you will gain insight into the hallmarks of effective and robust training as well as an awareness of some of the pitfalls to avoid.

This webinar is intended for Compliance Officers, L&D staff and those responsible for overseeing and delivering Consumer Duty training within their firms.

Presenter: Nigel Sydenham and Peter Haines, CCL Academy

The FCA has emphasised the importance of the board report and the underlying MI. By attending this webinar you will gain insight into the FCA’s expectations as well as an appreciation of some of the practical challenges associated with board approval.

This webinar is intended for Consumer Duty Champions, Project Teams and other board members, as well as Compliance Officers and those who have responsibility for producing Consumer Duty MI.

Presenters: CCL Academy and Waystone Compliance Solutions

Book your place for our next Compliance Update: Breakfast Briefing in partnership with Waystone Compliance Solutions and hear from expert compliance trainers and professionals as they provide updates on some of the recent changes in regulation, including the latest on the Consumer Duty and more.

Presenters: CCL Academy and Waystone Compliance Solutions

Register your interest in attending the Compliance Update: Breakfast Briefing in partnership with Waystone Compliance Solutions and hear from expert compliance trainers and professionals as they provide updates on some of the recent changes in regulation, including the latest on the Consumer Duty and more.

Hosted by: StarCompliance

Sara Cody of LinkLaters LLP and Peter Haines of CCL Academy joins StarCompliance to shed light on what should be happening and the significant impact Consumer Duty has on SMCR. Topics for this webinar include:

• Identifying a Consumer Duty Champion and what this means
• Embedding Consumer Duty into Statements of Responsibility
• The critical need for Reasonable Steps
• Consumer Duty and it’s dotted line to SMCR Code of Conduct
• Tailored Consumer Duty training and why it’s important
• Using your current SMCR framework to obtain Consumer Duty success
• The important role technology plays in monitoring and supporting Consumer Duty

Presenter: Michael Sacks, Director of Digital Learning Strategy, CCL Academy

As firms respond to the FCA’s spotlight on compliance training and competence, there’s a noticeable shift towards learner-directed experiences.

This webinar will consider the regulatory expectations in relation to training for Compliance and Financial Crime Compliance (FCC) professionals and introduce our new learning platform, designed to help Compliance and FCC professionals with the requirements.

Presenters: CCL Academy and Waystone Compliance Solutions

Sign up to attend the Consumer Duty Update webinar in partnership with Waystone Compliance Solutions and hear from expert compliance trainers and professionals as they provide insight into a range of topical issues regarding the new Consumer Duty.

This webinar is intended for Consumer Duty Champions, Compliance Officers and those who are responsible for reviewing and implementing systems, controls, policies and procedures under the Duty.

Presenter: Nigel Sydenham, CCL Academy

Gain a deeper insight into the MI required to meet and demonstrate compliance with the Duty and how this could impact your firm.

This webinar is for Consumer Duty Champions, Compliance Officers and those who are responsible for reviewing and implementing systems, controls, policies and procedures where required.

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This webinar is exclusive to members of the APCC only.

Presenter: Michael Sacks, CCL Academy

The outlook for 2023 is moving towards learner-directed experiences as firms respond to the FCA's spotlight on Compliance & FCC training and competence. Find out what this shift in learning could mean for you.

Register via your Association of Professional Compliance Consultants (APCC) portal.

Presenter: Peter Haines, CCL Academy

• The FCA's latest position
• The implementation plan
• The FCA's key questions
• How to train on the Consumer Duty

This webinar is for Consumer Duty Champions, Compliance Officers and those who are responsible for reviewing and implementing systems, controls, policies and procedures where required.

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Presenters: CCL Academy

Designed to assist you with your regulatory planning and provide insight into a range of topical issues including the new Consumer Duty. 

This in-person event is intended for Compliance, FCC and L&D/Training staff at FCA regulated firms.