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The Importance of Compliance

Learning Styles
In-House eLearning

Overview

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.

Who is this for?

This In-House course is suitable for front and back-office employees and can be delivered face-to-face or virtually to your firm.

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.

Course Details

This course is made up of the following subsections:

  • Introduction – what compliance means
  • Regulatory Sources
  • Compliance Links and Responsibilities
  • The Impact of Non-Compliance
  • Key Compliance Concepts
  • Concerns and Suspicions
  • Assessment

Delivery

Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.

Find out more about your Virtual or In-Person training experience below.

Virtual Delivery

Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:

  • Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
  • Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
  • Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
  • Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.

Additional Benefits:

  • Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.

  • On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.

 

In-Person Delivery

Our in-person training is delivered face to face at your offices, and includes:

  • ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
  • Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
  • Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.
The Importance of Compliance
hourglass
Duration
3 Hours
location
Delivery
In-House
Request a quote

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CCL Academy Limited

UK - Head Office

The Pantiles Chambers
85 High Street
Tunbridge Wells, TN1 1XP
United Kingdom
Phone: +44 20 3092 0442
Email: info@cclacademy.co.uk

UAE Office

Al Saaha Offices
Downtown Dubai
Dubai
United Arab Emirates
Phone: +971 4 427 2151
Email: info@cclacademy.com

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