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Compliance & Regulatory Courses

Compliance & Regulatory Courses

Compliance and Regulatory are processes and laws established by bodies that control industries to ensure companies are properly governed and are delivering their services and products in accordance with predefined standards, laws, specifications and policies. 

Browse the list of Compliance and Regulatory courses below and complete information requests for those that may be of interest to you.

Displaying 1-50 of 172 results
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ACAMS - Financial Crime Qualification Training
Risk Reward Limited
2,295 GBP
Multiple (2)
Our three day intensive course is designed with two main objectives in mind. Firstly, to give candidates a holistic and...
Accounting Issues for Corporate Lawyers
BPP Professional Education
497 GBP
London
This course will highlight the finance and accounting questions that the transactional lawyer should be thinking about to ensure a...
Accredited Level 3 Diploma in Compliance Management
Oxford Learning College
850 GBP
Distance
This diploma is designed to explore Compliance Management. Within this course you will learn how changes in compliance management practice...
Advanced Skills of the Bid and Tender Management Process
London Training for Excellence
2,515 GBP
Multiple (13)
Introduction This course has been designed to assist procurement specialists in the development of realistic and measurable evaluation criteria thus...
AIFMD
Eureka Financial
950 GBP
London
The scope of the AIFMD is broad and, with a few exceptions, covers the management, administration and marketing of alternative...
AIFMD - A Practical Guide
BPP Professional Education
615 GBP
London
The 2013 Alternative Investment Fund Managers Directive (AIFMD) affects managers of alternative investment funds (AIF hedge funds, private equity funds...
AML - Anti-Money Laundering
Eureka Financial
850 GBP
London
This course is designed to support an effective AML compliance program through sound risk management. Participants receive guidance on risk...
Anti- Fraud & Payments Handling
igaming Academy
60 EUR
Distance
...
Anti-Bribery & Corruption (ABC) Workshop
CCL Academy
395 GBP
London
Implementing robust measures against bribery and corruption continues to be a priority for governments and law enforcements internationally. In the...
Anti-Money Laundering and the Proceeds of Crime
igaming Academy
60 EUR
Distance
...
Anti-Money Laundering Awareness Training
CCL Academy
299 GBP
Multiple (2)
This Anti Money Laundering Awareness Training course is designed to equip staff with little or no previous training in the UK AML...
Anti-Money Laundering Awareness Training
CCL Academy
2,000 AED
Dubai
With all regulated firms required to have appropriate tools and procedures to combat money laundering, this Anti Money Laundering Awareness...
Anti-Money Laundering, Financial Crime and Sanctions Forum
Infoline
2,497 GBP
London
This conference is the premier event for financial crime and sanctions professionals. Included alongside the conference is an interactive workshop on...
Association of Taxation Technicians (ATT) Exam Training
Tolley
Multiple (8)
The ATT (Association of Taxation Technicians) offers six free standing written papers which can be sat in May and November...
Bank Capital Adequacy Under Basel III
Answerformula
1,860 EUR
Porto
The main objective of this two day workshop is to provide participants with an understanding of how capital is regulated...
Bank Regulation: Impact and Implications of Evolving Regimes
Moody's Analytics
1,200 GBP
Multiple (4)
The financial crisis and the widespread bank failures that followed have resulted in notable changes to bank regulation, which has...
Behavioural Economics
FSTP
         
(6)
595 GBP
London
Complex financial products can be difficult for people to understand – which increases the likelihood of poor decision making. Behavioural...
Best Execution - meeting FCA expectations
Corporate Training Partnerships
395 GBP
London
The FCA rules, guidance and ‘standards’ for Best Execution have been in place since the introduction of MiFID seven years...
CASS - Managing Client Money and Assets
Eureka Financial
695 GBP
London
The main objective of the CASS regulation is to provide adeqate protection for clients. The FCA set up high expectations...
CASS Client Asset Requirements
Corporate Training Partnerships
395 GBP
Multiple (2)
The FCA has now published its much awaited new rules on the protection of client assets and money for investment...
Certification in Control Self-Assessment
LEORON Professional Development Institute
Riyadh
Through this intensive five day course participants will learn how to introduce and monitor an effective control self assessment (CSA)...
Certified Compliance Professional
LEORON Professional Development Institute
Multiple (2)
Through this comprehensive five day course participants will gain the required skills and knowledge needed to successfully develop their careers...
Certified Corporate Compliance Specialist (CCCS)™
Ethan Hathaway
1,890 USD
Multiple (8)
This training gives you the building blocks needed to be an effective Corporate Compliance professional....
Certified Information Systems Auditor
LEORON Professional Development Institute
4,190 GBP
Multiple (3)
Through this comprehensive five day course participants will gain the reputable Certified information systems auditor (CISA) certification, and develop their careers...
Certified Training Program in Governance, Risk Management & Compliance
LEORON Professional Development Institute
3,990 EUR
Stockholm
This training program from LEORON Professional Development Institute aims to provide delegates with the skills and resources necessary to help an...
CISI - Global Financial Compliance
Risk Reward Limited
1,395 GBP
Multiple (2)
This globally portable qualification will provide you with a broad understanding of the compliance issues that arise within the financial...
CISI - Regulation & Compliance
Risk Reward Limited
2,495 GBP
London
The Diploma in Investment Compliance is a global qualification that offers a clear career pathway for compliance specialists and practitioners....
CISI - Risk in Financial Services
Risk Reward Limited
1,395 GBP
Multiple (2)
This comprehensive introductory qualification addresses the key techniques in identifying, reducing and managing certain risk areas in Financial Services sector...
CISI - UK Financial Regulations
Risk Reward Limited
1,050 GBP
London
This fundamental qualification underpins the key regulations in the UK’s Financial Sector from the broad perspective of the regulatory environment...
CISI Regulation & Compliance
Fitch Learning
620 GBP
London
This course forms a part of the CISI Diploma in Investment Compliance. The 7 days instructor led classroom lectures take place over...
Client Onboarding & Risk Based CDD Workshop
CCL Academy
545 GBP
London
This course will assist firms in developing a risk based approach to their AML/CDD in order to comply with the regulations. Taught...
COBIT 5
LEORON Professional Development Institute
Multiple (3)
This course from Leoron is designed to teach participants the latest updates to ISACA's COBIT®, the newest version of thinking in...
Company Secretary Programme
Euromoney Learning Solutions - Financial Training
3,995 GBP
Multiple (4)
This Company Secretary Programme is designed for Directors, and anyone who is directly involved in board information preparation or board support,...
Complaint Handling under DISP
Corporate Training Partnerships
595 GBP
Multiple (2)
The Financial Conduct Authority's complaint rules (DISP) are fiddly, easy to break and regularly changing (having undergone significant revisions in...
Complaints Handling
FSTP
595 GBP
London
The FCA expects you to treat your customers fairly. Which means you must have a straightforward, transparent and fair complaints...
Compliance Basics Programme
Searchlight
280 GBP
Distance
This Compliance Basics training programme is offered as an e learning course from Searchlight. This online programme has been designed...
Compliance in the Public Sector
SR Supply Chain Consultants
199 GBP
Preston
Designed for procurement professionals operating in the public sector, this Compliance in the Public Sector course takes a comprehensive look at...
Conduct & Culture Workshop
CCL Academy
545 GBP
London
In recent years, regulators internationally have emphasised the importance of conduct and culture. Indeed, in the UK, the FCA has...
Conduct Risk Learning Programme
CII - The Chartered Insurance Institute
250 GBP
Multiple (2)
This is a practical training programme helps participants develop an understanding of the key drivers behind conduct risk and the...
Conduct Risk Learning Programme
CII - The Chartered Insurance Institute
Nationwide
This is a practical training programme helps participants develop an understanding of the key drivers behind conduct risk and the...
Consultative Selling Skills
Euromoney Learning Solutions - Financial Training
Nationwide
This course is designed for financiers and bankers who wish to increase revenues for their employer without compromising their integrity....
Contract Management and Formulation
London Training for Excellence
2,515 GBP
Multiple (13)
Objectives By the end of this program the participant will be able to: Understand the role and scope of the...
Corporation Tax Refresher and Update
Kaplan Hawksmere
Nationwide
This Corporation Tax Refresher course provides participants with an overview of the latest developments in the field of corporation tax...
Creating and Managing Compliance
Zoe Talent Solutions
2,997 USD
Multiple (4)
The training program specialises in the key factors of compliance necessary for organisations to prevent fraud and minimise risks. The...
Culture & Ethics
FSTP
         
(1)
295 GBP
London
The reputation (and revenues) of your business depends on your approach to culture and conduct risk. Large scale conduct scandals...
Demonstrating & Evidencing Suitability
FSTP
595 GBP
London
The FCA’s recent suitability review flagged a number of issues. Among the most common are hidden fees, and investment portfolios...
Digital Media under the FCA
Corporate Training Partnerships
495 GBP
Multiple (2)
The new and ever changing world of digital media offers tremendous opportunities and significant risks to financial services organisations, and...
Directors Guide to Surviving an FCA/PRA visit
FSTP
         
(1)
295 GBP
London
The regulator is about to knock on your door. Your firm and your senior team will likely come under intense...
Do you have the right culture?
Corporate Training Partnerships
425 GBP
London
This focused and practical half day workshop is designed to help those responsible for establishing or influencing culture in financial...
Effective Compliance Monitoring
CCL Academy
499 GBP
London
Despite the regulator's current focus on ensuring that senior managers fulfil their responsibilities, the need for the compliance function to...
  • = Has a case study
  • = Has a video
  • = This course results in CPD hours
Displaying 1-50 of 172 results
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Compliance and Regulatory courses

To ensure business operations are fair, transparent, robust, safe and well governed, companies have to meet stringent regulatory requirements. The role of compliance for companies differ from country to country and industry to industry and is generally outlined and covered in great detail in the many Compliance and Regulatory courses on offer. Some of the more popular standards that govern certain industries are ISO, IEC, Sarbanes-Oxley Act, FCA, Data Protection Act, and many many more.

Those involved with ensuring their organisation adheres strictly to regulation will benefit from Compliance and Regulatory courses. It is also important that all employees are aware of their regulatory responsibilities and training will ensure they receive the required level of education in this respect. 

    Compliance and Regulatory Risk

    A key concern for organisations relate to the risks associated with non-compliance. This could be an unintended result of just not being aware of the regulations applicable to the environment they are operating in and sometimes something more sinister. Penalties could be severe, but what may be more damaging, is the perception of bad or illegal practises.

    Laws and regulations are continuously being introduced or changing and it is essential to keep abreast of these developments. Imagine a large multi-national firm operating across numerous borders. Keeping in line with all the regulatory requirements, which differ from place to place, is something that will receive significant focus because falling short here, could have devastating results.

    It is essential that all companies have robust Compliance and Regulatory strategies and systems in place to ensure all conditions of operations are adhered to. Compliance and Regulatory courses enable individuals to effectively craft these strategies and systems and also to ensure that the rules of the game for their industry is understood and followed.

    Types of courses

    Courses range from beginner level, for those getting into this area of business, to advanced for the seasoned professional who has to stay abreast of latest developments. Strategies need to be formulated and sustainable plans put into action to ensure organisations comply now, as well as in future. Compliance and Regulatory courses are available to address these requirements and many more.

     
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