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DTSTART;TZID=Europe/London:20241203T110000
DTEND;TZID=Europe/London:20241203T113000
DTSTAMP:20260903T122124
CREATED:20241010T134652Z
LAST-MODIFIED:20241011T110428Z
UID:31523-1733223600-1733225400@complyport.com
SUMMARY:Webinar: Is Your AML Compliance Robust Enough?
DESCRIPTION:Description:\nIn the constantly shifting landscape of Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT) regulations\, businesses must continually update their operations\, systems\, and procedures. This is to ensure that organisations are fully compliant with all relevant laws and regulations and avoid severe penalties\, including fines\, legal action\, and reputational damage. \nAn AML Health Check is a comprehensive review of a business’s adherence to AML regulations and standards. It involves an evaluation of the company’s policies\, procedures\, systems\, and controls to ensure they are effectively identifying\, assessing\, monitoring\, and mitigating money laundering risks. \nThe new Anti-Money Laundering (AML) package\, published on 19 June 2024 in the Official Journal of the European Union\, marks a significant advancement in unifying and strengthening AML regulations throughout the EU. This initiative follows the adoption of the AML ‘single rulebook’ regulation\, the 6th AML Directive\, and the AML Authority Regulation by the Council on 30 May 2024\, along with proposed amendments. The primary goals of this AML package are to harmonise AML rules across the EU\, enforce stricter measures against money laundering and terrorist financing\, and enhance the protection of the financial system. \nIn this session we will dive into the topic by: \n\nUnpacking the latest updates in AML regulations\nDiscussing the benefits of an AML Health Check\nOutlining the key components of an AML Health Check\n\n\nBook a Virtual Seat  \nSpeaker\n\nNicola Christofides\nAssistant Director\, Complyport \n\nBio
URL:https://complyport.com/event/is-your-aml-compliance-robust-enough/
LOCATION:Live online – Zoom
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241112T140000
DTEND;TZID=Europe/London:20241112T150000
DTSTAMP:20260903T122124
CREATED:20241014T122156Z
LAST-MODIFIED:20241014T124846Z
UID:31703-1731420000-1731423600@complyport.com
SUMMARY:Women in Compliance: Navigating Challenges & Embracing Opportunities
DESCRIPTION:Details\nNicola Christofides\, Assistant Director at Complyport\, will join a panel discussion for an insightful and empowering webinar focused on the evolving role of women in compliance within the financial services sector. This event will delve into critical topics that shape the experiences and careers of women in this field. \nKey Discussion Points \n1. Equality: \n\nHow the push for gender equality has transformed the role of women in compliance.\nThe biggest challenges women face in achieving equality in compliance roles and discuss actionable solutions.\n\n2. Culture Fit and Negotiation: \n\nHow women in compliance navigate cultural fit and negotiation within traditionally male-dominated environments.\nEffective strategies for negotiating roles\, responsibilities\, and promotions.\n\n3. Effectiveness and Efficiency with New Hybrid Way of Working: \n\nThe impact of the hybrid work model on the effectiveness and efficiency of women in compliance roles.\nThe unique advantages and challenges women face with the shift to hybrid working environments.\n\n4. “Sending the Lift Back Down”: How Mentoring is Key for Female Leaders: \n\nThe importance of mentoring for women aspiring to leadership roles in compliance.\nThe significant impact mentoring has on career progression and leadership development.\n\nDon’t miss this opportunity to gain valuable insights\, share experiences\, and connect with other professionals committed to fostering gender equality in compliance. Register now to secure your spot!l \n\nBook a Virtual Seat  \nSpeaker\n\nNicola Christofides\nAssistant Director\, Complyport \n\nJoanna Wands\nHead of UK & Europe | AsiaVerify\, UK \n\nNadia A. Ziani\nDirector for the UK & Channel Islands | SQOPE Intelligence\, UK
URL:https://complyport.com/event/women-in-compliance-navigating-challenges-embracing-opportunities/
LOCATION:Live online – Zoom
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241105T110000
DTEND;TZID=Europe/London:20241105T113000
DTSTAMP:20260903T122124
CREATED:20241009T081018Z
LAST-MODIFIED:20241014T105930Z
UID:31485-1730804400-1730806200@complyport.com
SUMMARY:Webinar: Consumer Duty - The Aftermath
DESCRIPTION:Description:\nSince the introduction of the Consumer Duty regulations\, businesses across financial services have had to reassess their practices to ensure they meet higher standards of customer protection and transparency. The new framework focuses on delivering fair value\, supporting informed decision-making and improving outcomes for consumers. Organisations now face heightened scrutiny to ensure they are prioritising the needs of their clients\, from product development to post-sale interactions. In the aftermath of these changes\, firms have been adapting to not only meet the legal requirements but also to cultivate stronger relationships with consumers based on trust\, fairness\, and accountability. Now that the Consumer Duty regulations are in effect\, it’s important to explore the practical impact on businesses\, consumers and the wider industry.  \nIn this session we will dive into the topic by: \n\nExploring Early Compliance Results and Industry Trends – How well have businesses adapted to the new requirements and what challenges are they facing?\nConsumer Outcomes and Experience – What ongoing issues are firms encountering when delivering improved transparency and fit-for-purpose products?\nRegulatory Feedback – What feedback have regulators provided so far and which areas still require significant improvement?\nFuture Regulatory Expectations – What will regulators focus on in the months and years ahead and how should businesses prepare? \n\n							\n					Book a Virtual Seat				 \nSpeaker\n\nKyriakos Christofides\nAssociate Director\, Complyport \n			\n									Bio\n					 \n\nKumar Ved\nManaging Director\, Complyport \n			\n									Bio
URL:https://complyport.com/event/webinar-consumer-duty-the-aftermath/
LOCATION:Live online – Zoom
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241010T110000
DTEND;TZID=Europe/London:20241010T113000
DTSTAMP:20260903T122124
CREATED:20240902T084852Z
LAST-MODIFIED:20241008T124236Z
UID:30451-1728558000-1728559800@complyport.com
SUMMARY:Webinar: Expert Witness Services in Compliance
DESCRIPTION:Description:\nIn the complex and ever-evolving landscape of regulatory compliance\, expert services are crucial for ensuring that organisations meet their legal obligations effectively. These services include advisory roles\, strategic planning\, documentation support\, and in-depth audits\, provided by professionals with specialised knowledge in compliance regulations and industry standards. Engaging with experts helps organisations mitigate risks\, avoid penalties\, and maintain a robust compliance framework. \nKey components of these expert services include expert witnesses\, who are engaged during legal disputes or investigations to clarify technical details or assess professional standards\, and skilled persons\, who are appointed by regulatory bodies to conduct detailed reviews and assessments\, ensuring compliance with specific regulations or addressing areas of concern within an organisation. Together\, these experts provide essential support in navigating regulatory challenges and legal complexities. \nIn this session we will dive into the topic by: \n\nExploring when a firm would need expert input\, including scenario examples\nExamining how a firm can assess if they need expert input\nDiscussing how to prepare for expert intervention\nIdentifying a firm’s obligations when dealing with an expert\nOutlining how to follow through with the advice given\n\n\nBook a Virtual Seat  \nSpeaker\n\nPaul Grainger\nChairman\, Complyport \n\nBio\n \n\nSimon Chapman\nSenior Director\, Complyport \n\nBio
URL:https://complyport.com/event/leveraging-expert-services-in-compliance/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240925T090000
DTEND;TZID=Europe/London:20240925T173000
DTSTAMP:20260903T122124
CREATED:20240801T083023Z
LAST-MODIFIED:20241011T110341Z
UID:29199-1727254800-1727285400@complyport.com
SUMMARY:Online Training Course: Your MLRO Training Day
DESCRIPTION: Online Training Course in London \nWith regulatory fines exceeding £600 million in the past two years due\nto failures in AML systems and controls\, can you or your team ever be\novertrained or too prepared on everything AML? \nWhether you are a recently appointed MLRO or someone looking for a\nrefresher course\, the London Governance & Compliance Academy (LGCA) and\nComplyport MLRO Training Day will equip you with the skills\,\ntools\, and knowledge you will need to excel at your job and stay one step ahead\nof your firm’s regulatory obligations. \nAs part of this unique\, eight-hour training session\, you\nwill learn all about the obstacles MLROs face in today’s ever-changing world. \nSimilarly\, you will look at the MLRO’s role through the lens of both the\nregulator and practitioner\, while delving into the practices\, known pitfalls\,\nand other multifaceted aspects of this challenging yet rewarding\nresponsibility. \nThis action-packed day will focus on the following topics: \n\nAML’s Legal Background & Regulatory Framework\nThe MLRO’s Role in Practice\nPEPs & Adverse Media\nSanctions& Sanctions Screening\nCustomer Due Diligence\nSuspicious Activity Reporting\nData Protection & Vulnerable Customer Management\nTransaction Monitoring\, Recordkeeping & Whistleblowing\nAnd Plenty More!\n\n\n\nFor more information on your MLRO Training Day\, please reach out to:  \nDenis Sureyev\, VP of Business Development\, LGCA\, at dsureyev@lgca.uk\n\n\n\n\n\nBook\n \nTrainer\n\n                              Nicola Christofides\nAssistant Director\, Complyport \n\nBio
URL:https://complyport.com/event/25th-september-2024-your-mlro-training-day-2/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240919T110000
DTEND;TZID=Europe/London:20240919T113000
DTSTAMP:20260903T122124
CREATED:20240909T055734Z
LAST-MODIFIED:20240917T094642Z
UID:30583-1726743600-1726745400@complyport.com
SUMMARY:Webinar: Understanding DORA
DESCRIPTION:Description:\nThe Digital Operational Resilience Act (DORA) is a new regulatory framework introduced by the European Union to enhance the digital resilience of financial institutions against a growing landscape of cyber threats and Information and Communications Technology (ICT) disruptions. As financial services increasingly move online\, the need for robust protection against cyberattacks\, data breaches\, and technology failures has become more critical than ever. DORA aims to create a unified set of standards across the EU\, ensuring that financial entities can withstand\, respond to\, and recover from digital disruptions\, ultimately safeguarding the stability of the financial sector. With key requirements becoming enforceable starting in January 2025\, it is essential for organisations to begin their compliance efforts now to meet the impending deadline and avoid potential penalties. \nIn this session we will dive into the topic by: \n\nDiscussing what is DORA\nOutlining why firms need to implement it\nExploring the 5 Key areas of DORA\nExamining which organisations need to comply and what services will they require\n\n\nBook a Virtual Seat  \nSpeaker\n\nRichard Corbyn\nDirector\, Complyport \n\nBio
URL:https://complyport.com/event/understanding-dora/
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240919
DTEND;VALUE=DATE:20240920
DTSTAMP:20260903T122124
CREATED:20240911T134159Z
LAST-MODIFIED:20240917T094812Z
UID:30718-1726704000-1726790399@complyport.com
SUMMARY:Forum: 3rd Annual Financial Innovation Forum Payments & Regtech
DESCRIPTION:The 3rd Financial Innovation Forum is an elite platform of international industry experts gathered for engaging discussions on the latest developments\, trends\, best practices\, compliance and regulatory considerations in the use of technology\, digital advances and innovative solutions. \nThe forum brings together key decision makers and inspirational leaders who have successfully navigated process\, product and institutional innovation in the financial space\, and are looking to share ideas and strategies with other industry experts to enhance transformative and disruptive innovation in this age of the empowered customer. \nLuis Parra\, Director\, Head of Regtech at Complyport will be speaking on the panel – RegTech and Compliance Innovation: Key Trends & Challenges. He will share his insights on financial innovation within compliance\, what type of tools are available and what is coming next?
URL:https://complyport.com/event/3rd-annual-financial-innovation-forum-payments-regtech/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240912T190000
DTEND;TZID=Europe/London:20240912T230000
DTSTAMP:20260903T122124
CREATED:20240827T120846Z
LAST-MODIFIED:20240828T100646Z
UID:30114-1726167600-1726182000@complyport.com
SUMMARY:London Fintech Networking Meetup
DESCRIPTION:Join us for an exclusive event with our leading clients and partners in London! \nWe are delighted to invite you to the inaugural series of London Fintech Networking events\, hosted by esteemed members of the industry: Complyport\, Dukascopy Bank\, Fintecor\, The Association of Governance\, Risk and Compliance and Sends. \nThis invite only event is all about direct networking and uncovering new\, mutually beneficial partnerships. It will bring together professionals from across the FinTech ecosystem\, offering a platform to network\, share insights\, and discuss the rapidly evolving landscape of financial technology. Whether you are interested in AI advancements\, regulatory updates\, or the latest in FinTech innovations\, this meetup is the perfect venue for meaningful conversations and connections. \nLocation: Singer Tavern\, 1 City Road London\, EC1Y 1AG\, United Kingdom \n							\n					Register				 \nSponsors
URL:https://complyport.com/event/london-fintech-networking-meetup/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240905T113000
DTEND;TZID=Europe/London:20240905T120000
DTSTAMP:20260903T122124
CREATED:20240702T134833Z
LAST-MODIFIED:20240812T131202Z
UID:27023-1725535800-1725537600@complyport.com
SUMMARY:Webinar: Diversity\, Equity and Inclusion in Financial Services - How the New Regulatory Updates Affect You
DESCRIPTION:Description:\nDiversity\, equity and inclusion (DEI) is a crucial implementation across any and all industries ensuring ethical\, fair\, and sustainable practices while promoting innovation\, resilience and competitiveness. It allows organisations to leverage a wide range of perspectives and talents\, fostering creativity and problem solving in product development driving economic growth and stability by ensuring equal opportunities for all individuals. \nWith the FCA and PRA’s proposals to drive the DEI agenda forward and impose changes on the regulatory framework it is now more imperative than ever that financial institutions implement a DEI infrastructure. \nIn this session we will dive into the topic by: \n\nExploring the current status of DEI in financial services\nExamining the FCA and PRA proposals and what these changes will impose on the regulatory framework\nOutlining how it will affect your firm and what you can do to be ready\n\n\nBook a Virtual Seat  \nSpeaker\n\nNicola Christofides\nAssistant Director\, Complyport \n\nBio
URL:https://complyport.com/event/webinar-diversity-equality-and-inclusion-in-financial-services-are-you-ready-for-the-new-regulatory-updates/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240827T100000
DTEND;TZID=Europe/London:20240827T103000
DTSTAMP:20260903T122124
CREATED:20240808T105537Z
LAST-MODIFIED:20241010T141421Z
UID:29638-1724752800-1724754600@complyport.com
SUMMARY:AML Check-Up: Is Your Firm in Good Health?
DESCRIPTION:Description: \nIn the constantly shifting landscape of Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT) regulations\, businesses must continually update their operations\, systems\, and procedures. This is to ensure that organisations are fully compliant with all relevant laws and regulations and avoid severe penalties\, including fines\, legal action\, and reputational damage. \nAn AML healthcheck is a comprehensive review of a business’s adherence to AML regulations and standards. It involves an evaluation of the company’s policies\, procedures\, systems\, and controls to ensure they are effectively identifying\, assessing\, monitoring\, and mitigating money laundering risks.  \nThe new Anti-Money Laundering (AML) package\, published on 19 June 2024 in the Official Journal of the European Union\, marks a significant advancement in unifying and strengthening AML regulations throughout the EU. This initiative follows the adoption of the AML ‘single rulebook’ regulation\, the 6th AML Directive\, and the AML Authority Regulation by the Council on 30 May 2024\, along with proposed amendments. The primary goals of this AML package are to harmonise AML rules across the EU\, enforce stricter measures against money laundering and terrorist financing\, and enhance the protection of the financial system. \n·      IIn this session we will dive into the topic by: \n\nUnpacking the latest updates in AML regulations\nDiscussing the benefits of an AML Health Check\nOutlining the key components of an AML Health Check\n\n							\n					Book a Virtual Seat				 \nSpeaker\n\nNicola Christofides\nAssistant Director\, Complyport \n			\n									Bio
URL:https://complyport.com/event/aml-check-up-is-your-firm-in-good-health/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240725T100000
DTEND;TZID=Europe/London:20240725T104500
DTSTAMP:20260903T122124
CREATED:20240717T154911Z
LAST-MODIFIED:20240719T130905Z
UID:28464-1721901600-1721904300@complyport.com
SUMMARY:Consumer Duty Q&A Webinar: Expert Insights and Answers
DESCRIPTION:Description:\nJoin us on July 25th for a dedicated Q&A webinar on Consumer Duty. \nThis session will focus on addressing your most pressing questions about the new Consumer Duty requirements. Our previous webinar on July 17th saw huge interest and numerous inquiries\, prompting this follow-up event. \nPlease submit your questions during registration or via the chat function during the webinar. Our experts are ready to provide the answers you need. \nSpeakers\n\nNicola Christofides\nAssistant Director\, Complyport \n\nKyriacos Christofides\nAssociate Director\, Complyport \n\nAshlie Queyrel\nModerator\, Complyport \n							\n					Book a Virtual Seat
URL:https://complyport.com/event/consumer-duty-qa-webinar-expert-insights-and-answers/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240717T100000
DTEND;TZID=Europe/London:20240717T103000
DTSTAMP:20260903T122124
CREATED:20240708T161636Z
LAST-MODIFIED:20240710T123722Z
UID:27746-1721210400-1721212200@complyport.com
SUMMARY:Webinar: Consumer Duty - Are You Prepared?
DESCRIPTION:Description:\nOn July 31 2023\, the deadline for the new Consumer Duty requirements set by the UK’s Financial Conduct Authority (FCA) for new and existing products and services came into effect. A year on\, July 31 2024 looms closer with another deadline whereby firms must once again prepare to fully comply with the new Consumer Duty requirements for closed products and services. By this date\, firms are expected to meet the standards outlined in the Consumer Duty framework\, which aims to ensure a higher level of consumer protection and promote good outcomes for retail customers. With this deadline swiftly approaching\, it is imperative that firms understand the significance of these changes and ensure full compliance with the regulatory requirements. \nIn this session we will dive into the topic by: \n\nDiscussing the four outcomes and their implications\nExploring fair value assessments\, proportionality and acting in good faith\nOutlining good practices all firms should adopt\n\nSpeakers\n\nKumar Ved \nManaging Director\, Complyport \n\nKyriacos Christofides\nAssociate Director\, Complyport \n							\n					Book a Virtual Seat
URL:https://complyport.com/event/consumer-duty-are-you-prepared/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240703T113000
DTEND;TZID=Europe/London:20240703T120000
DTSTAMP:20260903T122124
CREATED:20240530T161619Z
LAST-MODIFIED:20240612T104914Z
UID:25864-1720006200-1720008000@complyport.com
SUMMARY:Webinar: Green Claims to Genuine Practices: Understanding the FCA’s 2024 ESG and Greenwashing Regulations
DESCRIPTION:Transparency\, honesty\, and sustainability are not just buzzwords but indispensable to the UK financial market this year. With the Financial Conduct Authority (FCA) anti-greenwashing rules coming into effect on 31st May 2024\, the expectations around sustainable finance is undergoing a significant shift. Our upcoming webinar will unravel the implications of the new regulations\, discuss actionable strategies for the impending December deadlines\, and provide a comprehensive understanding of the Environmental\, Social and Governance (ESG) market in 2024. \nThis year will see everything from products\, promotions\, and sustainability claims come under the green microscope. The broader implications of the new Sustainable Disclosure Requirements (SDR) regime and anti-greenwashing rule demands that the financial sector uphold the highest standards of integrity in sustainability. \nThis transformative period calls for a proactive approach to ensure that all market participants adhere to the principles of genuine sustainability. \n  \nWho is this webinar for?\nOur webinar is desgined for all financial industry professionals to gain clarity on the SDR and strategise their compliance. As we work with these changes\, the webinar will also explore the opportunities that arise from a more transparent ESG market\, where green finance is not just a promise\, but a practice. \n  \nJoin us to delve into:\n\nThe FCA’s anti-greenwashing rules;\nReducing the risk of a greenwashing probe; and\nPreparing for the SDR regime and sustainable finance\, beyond the webinar.\n\nDetails:\nDate: 3rd July 2024 \nTime: 11.30am \nPlatform: Zoom – Live Online \nDuration: 30 minutes \nPrice: Free \n  \nSpeakers\nNicola Christofides\, Assistant Director  \n \nNicola Christofides\, Assistant Director of Complyport brings over 18 years of experience in Financial Services Regulation and Compliance \nPrior to Complyport\, Nicola worked at Barclays where she was a Senior Director in Compliance and Financial Crime leading large global teams specialising on Senior Managers Regime\, Risk\, Reporting and Governance. Nicola also had a long career at the Financial Conduct Authority (FCA) working in a number of departments including Policy\, Enforcement and Authorisations\, with her last role heading up the Governance for the FCA\, working closely with the ExCo and the Board. \nAshlie Queyrel Assistant Consultant \n \nAs an Assistant Consultant in the Financial Crime and Operational Resilience team at Complyport\, Ashlie Queyrel brings a wealth of knowledge to the table. With a dedicated focus on supporting a range of clients across the indsutry and keeping them up to date with the latest market issues\, she offers comprehensive insights for firms navigating the demands of ESG. \nClick the button below to book a virtual seat. \nBook a Seat
URL:https://complyport.com/event/webinar-green-claims-to-genuine-practices-understanding-the-fcas-2024-esg-and-greenwashing-regulations/
LOCATION:Live online – Zoom
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240626T113000
DTEND;TZID=Europe/London:20240626T120000
DTSTAMP:20260903T122124
CREATED:20240528T175417Z
LAST-MODIFIED:20240704T100544Z
UID:25844-1719401400-1719403200@complyport.com
SUMMARY:Webinar: Diversity\, Equity and Inclusion in Financial Services - Are you ready for the new Regulatory changes?
DESCRIPTION:Description:\nDiversity\, equality and inclusion (DEI) are crucial in the financial services sector\, ensuring ethical\, fair\, and sustainable practices while promoting innovation\, resilience and competitiveness. Embracing diversity allows financial institutions to leverage a wide range of perspectives and talents\, fostering creativity and innovation in product development and problem-solving. Inclusive practices drive economic growth and stability by ensuring equal access to financial services and opportunities for all individuals. \nMoreover\, firms with diverse teams are better equipped to manage risks effectively\, adapt to changing market conditions\, and comply with evolving regulatory requirements. Fostering an inclusive workplace culture enhances employee engagement\, satisfaction\, and performance\, demonstrating a commitment to ethical business practices and societal well-being. \n\nWho is this webinar for?\nThe webinar is for all firms and its employees to gain an insight and understanding on the evolving DEI agenda from the regulators\, the status of DEI in financial services\, what will the new regulatory rules change in DEI and looking at the general landscape in firms and how it can be changed. \n\nJoin us to delve into:\n\nFCA and PRA consultation papers on DEI. Change it will impose on regulatory framework.\nExamining the current status of DEI in financial services.\nWhat firms can do to be ready for the upcoming regulatory changes.\n\n\nDetails:\nDate: 26th June \nTime: 11.30am \nPlatform: Zoom – Live Online \nDuration: 30 mins \n\nSpeakers\nNicola Christofides \nAssistant Director\, Complyport \nClick the button below to book a virtual seat. \nBook a seat
URL:https://complyport.com/event/webinar-diversity-equality-and-inclusion-in-financial-services-are-you-ready-for-the-new-regulatory-changes/
LOCATION:Live online – Zoom
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240528T090000
DTEND;TZID=Europe/London:20240528T130000
DTSTAMP:20260903T122124
CREATED:20240521T145135Z
LAST-MODIFIED:20240522T152311Z
UID:25789-1716886800-1716901200@complyport.com
SUMMARY:28th May 2024: Consumer Duty - Live Online Course
DESCRIPTION:In July 2022\, the Financial Conduct Authority\, or FCA\, published a policy statement\, with final rules\, on its Consumer Duty initiative. This comprises a new principle\, cross-cutting rules\, and four outcomes for retail consumers. The Consumer Duty will mean that consumers should receive communications they can understand products and services that meet their needs and offer fair value\, and obtain the customer support they need\, when they need it. Clarity on the FCA’s expectations\, and firms’ focus on what their customers need\, should lead to more flexibility for firms to compete and innovate in the interests of consumers. With firms assessing how they are meeting their customers’ needs\, the FCA will be able to quickly identify practices that do not deliver the right outcomes for consumers and take action before practices become entrenched as market norms. Regulated firms will have to comply with the Consumer Duty from 31 July 2023\, with a delayed implementation of 31 July 2024 for products that are closed or not being sold to new investors. \n  \nLearning Outcomes\nBy the end of the programme\, participants will: \n\nUnderstand and explain the FCA Consumer Duty\nArticulate the changes required as a result of the Consumer Duty\nExplain the desired outcomes for consumers\nDescribe how firms can begin to evidence their compliance with the Duty\nAppreciate how the Consumer Duty applies across different sectors\n\n  \nWho Should Attend \nRelevant staff roles include Risk and Compliance\, Operational Oversight and Management. \n  \nTraining Details\n\n4 CPD Units\n4 Hours\nLive Online\n28 May 2024\n09:00 – 13:00 UK Time\nOnline\n\n  \nRegulatory expectations – the role of Compliance Monitoring\n\nAims of the Duty\nThe Consumer Principle\n3 cross-cutting rules\n4 outcomes\nImpact on Conduct Rules\n\n  \nTraining Outline \nMonitoring Outcomes under the Consumer Duty \n\nWhat do the regulators expect?\nWhat might a monitoring programme look like?\nFocus on vulnerability\n\n  \nSenior Managers and the Consumer Duty \n\nRegulatory Expectations\nSupporting senior managers from the bottom up\nBuilding evidence of reasonable steps\n\n  \nRecognising differences \n\nImpact on retail banking\nImpact on consumer credit\nImpact on wealth and asset management\nImpact on insurance distribution\nImpact on mortgages\n\n  \nTrainer\nIndustry Expert | Steve Fairclough \n \nSteve began his financial services career in 1993 and has over 20 years practical training experience across a range of sectors and topics.  He is a former Head of Education for HSBC covering the UK and Europe\, responsible for regulatory and financial crime related compliance learning.  His time at HSBC was during intense scrutiny from regulators and government functions during the bank’s Deferred Prosecution Agreement.  Other roles include leading the Monitoring and Testing programme for a UK Wealth Manager\, and Senior Vice President responsible for Global Risk & Compliance training at a US-based bank.  He also worked in the Insurance Firms division at the Financial Conduct Authority (in the FSA days) where he was the divisional expert for the rules and outcomes required under the Training & Competence handbook. \nThe HSBC role\, along with five years at Barclays in their Private Clients and Wealth functions\, has seen Steve work with retail\, commercial\, wholesale and private banking channels.  Since leaving HSBC\, Stephen has worked with the compliance\, HR and operational teams of firms to enhance their regulatory understanding\, as well as delivering content across private equity firms\, investment houses\, banks and wealth managers.  He regularly delivers core programmes for TISA and the Investment Association. \nSteve is a former member of the Investment Management Association Training & Education Committee and won the Thomson Reuters award for “Most Effective Compliance Training at a Regulated Firm” in 2010. \n  \nFor more information\, please reach out to: \nDenis Sureyev\, VP of Business Development\, LGCA\, at dsureyev@lgca.uk \nLearn More
URL:https://complyport.com/event/28th-may-2024-consumer-duty-live-online-course/
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DTSTART;TZID=Europe/London:20240501T093000
DTEND;TZID=Europe/London:20240501T233000
DTSTAMP:20260903T122124
CREATED:20240327T114517Z
LAST-MODIFIED:20240429T141043Z
UID:25292-1714555800-1714606200@complyport.com
SUMMARY:1st May 2024: Financial Crime: The FCA’s 4 areas of focus Networking Breakfast
DESCRIPTION:Financial crime remains a significant challenge and one that demands collective action and unwavering commitment. In light of recent developments and the evolving landscape\, Complyport is delighted to extend an invitation to our upcoming breakfast networking event\, where we will delve into the critical themes outlined in the Financial Conduct Authority’s (FCA) recent publication on their areas of focus for financial crime. \n  \nEvent Details: \n\nDate: 1st May 2024\nTime: 9.30 am – 11.30am\nLocation: Complyport\, 34 Lime St\, London. EC3M 7AT\n\nPlease email sukh.vairea@complyport.co.uk to register your interest. \n  \nAbout the Event\nThe FCA’s recent publication underscores the importance of collaborative efforts across four key areas of focus. As Mark Francis\, FCA Director of Wholesale and Unauthorised Business Investigations\, emphasises\, progress in combating financial crime demands a unified approach. \nKey Topics Include: \n\nData and Technology: Harnessing innovation to combat emerging risks.\nCollaboration: Strengthening partnerships to enhance information sharing.\nAwareness: Empowering consumers to identify and mitigate fraudulent activities.\nMetrics: Establishing robust frameworks to measure impact and efficacy.\n\nWhy Attend? \nJoin us as we explore the FCA’s areas of focus and explore actionable strategies to combat financial crime effectively. The event will feature insightful discussions\, networking opportunities\, and practical insights from our industry experts. \nOur Hosts: \n\nSukh Vairea – AML Solutions Consultant\, Complyport\nNicola Christofides – Assistant Director\, Complyport\nKumar Ved – Managing director\, Complyport\n\n  \nJoin Us:\nPlease email sukh.vairea@complyport.co.uk to register your interest. \n  \nAbout Complyport\nComplyport is a market-leading consulting firm supporting the UK financial services industry for over 22 years. We specialise in providing Governance\, Risk and Compliance services to support the regulated financial services industry to raise standards and thrive. \nComplyport can assist with the preparation of a GAP analysis and impact assessment on the investment firm’s capital adequacy and risk management framework of the Company under the regulatory framework. \nWe specialise in supporting the UK financial services industry with compliance guidance\, advice and best practice. \n\nFinancial Crime Risk and Compliance support\nOperational resilience & Cybersecurity advice\nCompliance managed services and resourcing compliance personnel\nSkilled Person Reviews and Regulatory Investigation\nPrudential support\, IFPR\, ICARA and financial resilience advice\nConsumer Duty implementation advice\nFinancial Promotions guidance\, support\, and management software solutions\nCASS advice and protections of client assets\nComprehensive compliance work-flow management software
URL:https://complyport.com/event/1st-may-2024-financial-crime-the-fcas-4-areas-of-focus-networking-breakfast/
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