The Importance Of Compliance

Are you and your staff aware of just how important compliance is in the financial services industry? And the potential ramifications of a failure to comply with laws and regulations?

Both existing staff and new starters at regulated financial services firms need to be conscious of the importance of complying with laws and regulations to minimise the implications of inappropriate activities on their career, the firm and the firm’s stakeholders.

This course gives employees a ‘big picture’ view of the requirements and the impact of a failure to comply on individuals, the firm and the firm's clients.

Participants will receive a more positive view of compliance. Instead of being seen as an annoying preventer of business, compliance will be recognised as a vital input into good and continuing business, creating and preserving a positive reputation, becoming a significant contributor to profitability, and avoiding loss through poor repute, mistrust and regulatory penalties.

This in-house course aims to contribute to lowering the risk of regulatory breaches occurring, improving recognition of breaches that may have occurred, accelerating the reporting of concerns and improving organisational culture.

Learning Outcomes:

After attending this course, participants will be aware of the importance of complying with applicable law, regulations, guidance and the values of the firm. Participants will appreciate what needs to be complied with and why.