2019 – Compliance 101

This event is fully booked – to find other dates please click here.

A one-stop shop for Compliance Officers and other compliance professionals. It covers both the technicalities and practicalities of the regulatory regime and how it.

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.

This seminar will cover the following issues:

  • 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

Why choose this course?

This serves as a great refresher course for any compliance officers looking to strengthen their technical understanding and check that they have all bases covered. First time compliance officers also attends, as do those CF10s who find themselves changing businesses or sectors.

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 Workshop
17.00pm Finish