Compliance 101 – 2019

A one-stop shop for Compliance Officers and other compliance professionals, covering both the technicalities and practicalities of the regime.

This course, hosted by BWB Compliance, will cover the regulatory requirements of firms and how that drives the role of compliance, together with how compliance officers manage their role in practice.

Topics we will cover include:

  • an overeview of the regulatory regime
  • the responsibilities of compliance
  • how to make compliance decisions in practice and what sources of information are available to inform them
  • how to read your firm's scope of permission and know where the boundaries lie between different activities
  • our top tips on how to make the most of the FCA Handbook and an overview of the key sections
  • core compliance obligations for FCA regulated firms from complaint handling to monitoring to reporting

We run these days as small workshops, limiting numbers so that attendees can ask questions relevant to their firm and engage with each other as well as with us throughout the day.


9.30am Registration 

10.00am Session starts

5.00pm Session ends

Lunch will be provided