Compliance Training - Complyport UK Consultancy Service

Case Update: ‘Finfluencers’ charged for promoting unauthorised investment scheme plead NOT guilty

On 16 May 2024, the Financial Conduct Authority (“FCA”) brought charges against nine social media influencers in an unprecedented case. On 13 June 2024, at Westminster Magistrates’ Court, three out […] [...]

Webinar: AML and Fraud Prevention in the Insurance Sector

With the Financial Conduct Authority (FCA) increasing its focus on compliance in the insurance sector, understanding and adhering to regulatory expectations has never been more crucial. The FCA’s recent actions […] [...]

Mastering the FCA SMF Interview: 8 Questions Answered

Securing approval as a Senior Management Function (SMF) at an FCA-authorised firm requires passing a rigorous interview with the regulator. With accountability and individual responsibility at the center of the […] [...]

Operational Resilience: Act Now not Later

Operational Resilience is the ability of an organisation to prevent, adapt, respond, recover, and learn from operational disruptions that could affect its performance, customers, or stakeholders. It involves identifying […] [...]

17th April 2024: Internal Audit – Mastering Your Third Line of Defense

As regulations grow more complex, financial services firms face increasing scrutiny of their governance and controls. Robust internal audits are essential to test and evidence compliance across areas like conduct, […] [...]

Pass Your FCA Senior Management Function Interview: A Guide

Receiving approval from the Financial Conduct Authority (FCA) to take on a Senior Management Function (SMF) at a regulated firm is a major career milestone. However, candidates can’t simply walk […] [...]

25th April 2024: Your MLRO Training Day

NB! THIS IS AN IN-PERSON COURSE IN LONDON. With regulatory fines exceeding £600 million in the past two years due to failures in AML systems and controls, can you or your team […] [...]

Tag: Compliance Training

Case Update: ‘Finfluencers’ charged for promoting unauthorised investment scheme plead NOT guilty

Webinar: AML and Fraud Prevention in the Insurance Sector

Mastering the FCA SMF Interview: 8 Questions Answered

Operational Resilience: Act Now not Later

17th April 2024: Internal Audit – Mastering Your Third Line of Defense

Pass Your FCA Senior Management Function Interview: A Guide

25th April 2024: Your MLRO Training Day

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Webinar: Unlocking the Power of ViCA, Your AI-Powered Virtual Compliance Assistant

Online Training Course: Your MLRO Training Day

Webinar: Navigating the IFPR Impact: Good and Poor Practices Observed

In-Person Training Course: Your MLRO Training Day

In-Person Training Course: Your MLRO Training Day

Fireside Chat: Operational Resilience – Have You Prepared?

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