CPD Certified - FCA Compliance Induction for Senior Managers at Investment Firms - 2020/21 (0.75 points)

This course provides a sound knowledge and awareness of key FCA compliance concepts that relate to both the individual’s employer and to the individual as a Senior Manager.

The individual is also given guidance on managing compliance risk, and appropriate courses of action to be taken when encountering compliance issues.

This module is suitable for anyone that starts working in a Senior Manager capacity as classified per the Senior Managers and Certification Regime at a FCA-regulated Investment Firm

Compliance

This course is worth 0.75 CPD points