Key Details

Duration: 1 Day

Delivery method: In-house

Overview

Compliance Officers are challenged to give advice, to review new products and transactions and to monitor business practices in a highly technical environment. They are also expected to have the interpersonal skills to deal with highly incentivised business people and Senior Management.This product-based course is designed to give Compliance Officers...

Compliance Officers are challenged to give advice, to review new products and transactions and to monitor business practices in a highly technical environment. They are also expected to have the interpersonal skills to deal with highly incentivised business people and Senior Management.

This product-based course is designed to give Compliance Officers the tools to understand the products and markets and to work with the business to produce solutions. Where solutions are not immediately achievable, your trainer will give advice on diplomatic, yet assertive disagreement, based on decades of dealing with Traders, Salespeople, Analysts, Corporate Bankers and Senior Management in often highly-charged environments.

Who is this for?

This course is designed for Compliance Officers who have interaction with the first line and can cover those fairly new to Compliance and more senior people as they deal with Senior Management where issues have been escalated.

The Equities Markets

  • A short history of the equities markets
  • Different types of equities
  • How are equities priced?
  • Where and how are they traded?

Key Regulations

  • Market abuse and equities
  • How to handle a STOR
  • Transaction reporting
  • Best execution
  • Appropriateness and suitability
  • Conduct Risk

Participants at this workshop will:

  • Increase their knowledge of equities
  • Improve their understanding of the rules attached to those products
  • Increase their skills in dealing with those rules in practice

Leading to:

  • Closer co-operation between the business and Compliance
  • Mitigation of the Firm’s Compliance risk