UK Regulation for Investment Firms - Compliance, Control & Oversight Essentials

Introduction

The aim of this new virtual classroom seminar is to provide compliance officers, compliance monitoring and internal auditors of investment firms with a comprehensive understanding of the regulatory framework for investment businesses in the UK.

This course will focus on what regulators want to achieve and how they go about doing that, as well as the implications for regulated investment businesses. It will also cover the expectations of control functions and outsourced services, the regulatory expectations of investment distribution and asset management businesses.

What you will learn

This live and interactive course will cover the following:

• The regulatory framework for investment businesses in the UK
• What the regulators want to achieve
• How the regulators go about achieving that
• What that means for a regulated investment business
• The expectations of the control functions and outsourced services
• The regulatory expectations of investment distribution and asset management businesses, including but not limited to:
• Markets in Financial Instruments Directive (MiFID) & Regulation (MiFIR)
• Market Abuse Regulation (MAR)
• European Market Infrastructure Regulation (EMIR)
• UCITS
• Alternative Investment Fund Management Directive (AIFMD)
• Expected changes in the future

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.