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

This course provides a refresher 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 works for a FCA-regulated Investment Firm, and is classified as a Senior Manager per the Senior Managers and Certification Regime.

Compliance

This course is worth 0.75 CPD points