Financial Services Law and Compliance Training Course

Participants can connect governance arrangements with accountable regulatory decision-making.

• Board oversight duties for compliance, risk appetite and regulatory reporting
• Three Lines Model responsibilities for business, compliance and internal audit
• Senior manager accountability mapped through prescribed responsibilities and delegation
• Design conduct-risk indicators for culture, incentives and customer outcomes
• Minutes, attestations and decision logs supporting supervisory scrutiny
• Escalation thresholds for breaches, conflicts and material control failures

Participants can assess legal duties arising from securities services and client relationships.

• Classify investment services, financial instruments and professional client categories
• Suitability and appropriateness assessments supported by documented client information
• Disclosure requirements for risks, costs, charges and product characteristics
• Manage inducements, commissions and conflicts within client-service arrangements
• Best-execution factors documented through policy, monitoring and periodic review
• Assess securities offering restrictions, prospectus triggers and private-placement exemptions

Participants can apply market-integrity requirements to trading, information handling and surveillance.

• Define inside information using precision, price sensitivity and public availability
• Establish insider lists, wall-crossing records and restricted-list controls
• Identify insider dealing, unlawful disclosure and market-manipulation indicators
• Trade surveillance scenarios covering spoofing, layering and unusual transaction patterns
• Personal-account dealing controls, pre-clearance and post-trade reporting
• Escalate suspicious orders and transactions through documented assessment procedures

Participants can conduct risk-based financial-crime assessments and escalate suspicious activity.

• FATF risk-based approach applied to customers, products and delivery channels
• Customer due diligence: identification, verification, beneficial ownership and purpose
• Enhanced due diligence triggers for politically exposed persons and high-risk jurisdictions
• Screen sanctions parties, ownership structures and payment-message information
• Transaction monitoring alerts assessed through behavioural and expected-activity profiles
• Suspicious activity reporting decisions, confidentiality and record-retention requirements

Participants can assess data-use and confidentiality issues in regulated financial services.

• Lawful bases for processing client, employee and transaction data
• Data minimisation, retention schedules and records of processing activities
• Assess cross-border transfers using contractual safeguards and transfer-impact assessments
• Confidentiality duties in client mandates, trading desks and corporate finance
• Information barriers separating public-side and private-side business activities
• Breach-response decisions covering containment, notification and evidential preservation

Participants can assess regulatory obligations arising from outsourced and technology-enabled services.

• Identify material outsourcing arrangements and critical or important functions
• Due diligence criteria for financial stability, security and operational capability
• Contract clauses covering audit rights, access, resilience and subcontracting
• Cloud-service risk assessment using data location and exit-planning criteria
• Monitor third-party performance through service levels, incidents and control evidence
• Maintain outsourcing registers, contingency plans and supervisory notification records

Participants can build a risk-based compliance monitoring approach with clear evidence requirements.

• Create regulatory obligations inventories linked to policies, controls and owners
• Score inherent and residual compliance risk using defined assessment criteria
• Develop monitoring plans based on impact, likelihood and control maturity
• Test control design, operating effectiveness and evidence quality
• Root-cause analysis using five whys and contributing-factor categorisation
• Report findings through action trackers, issue ratings and management information

Participants can manage regulatory incidents and prepare defensible responses to supervisory scrutiny.

• Triage allegations, complaints and control failures using materiality criteria
• Preserve documents, communications and electronic records under legal hold
• Plan internal investigations with scope, interview protocol and evidence log
• Apply privilege considerations when engaging internal and external legal counsel
• Prepare regulator notifications that are accurate, timely and appropriately scoped
• Track remediation commitments through owners, milestones, validation and closure

Participants can translate legal requirements into practical decisions, controls and implementation priorities.

• Review product approval files for legal, conduct and disclosure requirements
• Challenge business proposals using obligations maps and documented risk rationale
• Align policies, procedures, training and monitoring with regulatory requirements
• Prioritise remediation using risk severity, customer impact and regulatory urgency
• Communicate legal risk to executives through concise decision-focused reporting
• Produce an individual application plan for immediate workplace implementation