AML Masterclass – 17th May

Tuesday May 17, 2016 – Tuesday May 17, 2016

Map and Directions | Register

Description:

AML Masterclass

Presented by Mathew Beale – Comsure (Regulatory Risk Specialist)

In Jersey, everyone working in finance must be aware of the Money Laundering (Jersey) Order and their obligations.

Join Mathew Beale, Regulatory Specialist from Comsure for this two-hour special on Anti Money Laundering. Mathew will teach you everything you need to know to adhere to local legislation with real-life Case Studies and practical examples from his 30-year experience working in financial services.

The session will include real-life Case Studies and practical examples gleaned from our vast experience working in financial services, teaching you everything you need to know about Money Laundering, but were afraid to ask.

About the session:

The workshop will consider such matters as:

• Understanding what ML & TF is – dispelling the myths!
• AML Policies and Procedures – What is the difference and why are they important?
• Probability of an offence crystallising – using leading case studies.
• Risk of not reporting – using real case studies.
• Government and other Sanction risk (e.g. UN, EU, OFAC, Others, etc.)
• Understanding the difference between KYC, ID&V and CDD.
• Profiling customers – what does it mean?
• Building and using trigger events.

How do you guard against being: 

• Engaged in an arrangement with the proceeds of crime or
• Deemed to have failed to report a suspicion (SAR) and / or
• Deemed negligent in your actions to prevent, detect and or report the above matters?

Who should attend this session:

All employees are required to complete AML training within ten days of induction and refresher training must be completed every two years. Anyone working within a financial services environment, including client facing employees, Directors, NEDS, MLROs and MLCOs should attend this session.

Details

Date: May 17, 2016

Time: 09:00 – 11:00

Booking Link – http://08hillstreet.com/events-cpd/

More info link: https://aml-jersey.eventbrite.co.uk/

Cost: £75.00 (+ booking fee)

Register

INTRODUCTION TO AML, TF AND CORRUPTION – One Study Training

Wednesday May 18, 2016 – Wednesday May 18, 2016

Map and Directions | Register

Description:

PLEASE NOTE: To book your place on this course, please contact ONE STUDY TRAINING, details below.

Introduction to AML, TF and Corruption

COURSE OBJECTIVES:

The course is designed for both those new to the industry and as a refresher for senior staff wishing to expand their knowledge. It is relevant to both regulated and supervised financial services providers.

COURSE OUTLINE

What is money laundering?
Placement, layering and integration
The scale of the problem
Common laundering methods
Vulnerability of offshore centres
How to mitigate the risks
SARs – protecting yourself
Consequences of failing to detect laundering
How to mitigate the risks
The definition of terrorist financing
Vulnerabilities – the use of NGOs
Consequences
ISS

TARGET AUDIENCE

The course is designed for both those new to the industry and as a refresher for senior staff wishing to expand their knowledge. It is relevant to both regulated and supervised financial services providers.

All One Study courses can be facilitated in-house and tailored to your specific requirements.
To discuss your learning and development requirements or register a place on a public course, please contact
Louise Grimstead at louise@onestudytraining.co.uk
or by telephone on +44 (1534) 729729
www.onestudytraining.co.uk

Register

Everything you wanted to know about Regulatory and Money Laundering Risk – Seychelles – 2 Day Event

Wednesday June 1, 2016 – Thursday June 2, 2016

Map and Directions | Register

Description:

PLEASE NOTE: To book a place on this course, please download the brochure and fill out the booking form, alternatively contact clbs@clbsonline.com or phone (230) 454 6809.

Everything you wanted to know about Regulatory and Money Laundering Risk – Seychelles

2 Day Workshop

Early Bird Fee Available

Introduction

Professionals working in money laundering prevention already understand the benefits of, and regulatory requirements for, training in this area. Each member of staff, regardless of position, has a role to fulfill in safeguarding the reputation of their firm and minimizing the threat. So it is vital that all be fully trained with the necessary skills and knowledge. This two-day workshop intends to build upon the previous workshops in this area as Anti-Money Laundering and Counter Terrorist Financing is such a dynamic area. As in previous years, the programe has been designed together with the Seychelles Financial Services Authority (FSA) to ensure its relevance to the Seychelles legal and regulatory framework.

The Programe Content

The workshop will cover the following key 5 themes:

AML/CFT Refresher & Update (including FSA Proposed Topics)

We will begin by reminding ourselves of the basics constituents of AML/CFT and dispel the myths. We will consider the importance of knowing the respective legislations, ongoing monitoring of business relationships, knowing the activities the clients are engaged in, establishing the UBO of companies, having policies and procedures in detecting ML/, ensuring legitimacy of documents and performing independent checks to confirm the authenticity of their content & Importance of establishing good P.I relationships and ensuring that CDD information is obtained and agreement & undertaking is in place. We will look at the different government and sanction lists (e.g. UN, EU, OFAC, etc.) and how they should be embedded in your systems and procedures. We will focus on the way customers should be profiled and look at the difference between KYC – ID&V – CDD. We will show you how to build and use trigger events in your systems before turning to consider the probability of an offence crystallizing and the risk of not reporting using leading case studies. Last but not least, we will look at the importance of professional indemnity (and directors and officers liability) cover for risk mitigation.

AML for Compliance Officers and the MLRO

So often, MLROs and Compliance Officers are so busy ensuring that everyone else in their firm receives the AML training, that the need for them to keep up to date gets overlooked. In this part of the workshop, we will look at the current areas of interest to AML regulators, enhanced with case histories and studies. We will also provide Senior Managers holding the delegated AML compliance responsibility on behalf of their firms’ governing bodies (but who are not also the MLRO) a concise update on the matters of current interest and concern to those in such managerial positions.

AML/CFT & The responsibility of Senior Management and of the Board

It is imperative that CEO’s, directors (including NEDS), their equivalents and senior management colleagues in allregulated firms fully understand their collective and personal obligations, to avoid suffering Criminal sanctions, including vicarious liabilities and maximum prison sentences up to 14 years, Civil sanction, including Constrictive trust and Dishonest assistance and Regulatory sanction, including loss of licence and or job. The aim of this briefing session is to provide delegate with a concise update on the implications, both for their firms and for them as individuals, arising from the ongoing obligations from current legislation and regulation. This will provide to be useful equally to members of senior management but also for those who may not be in senior management so that they can attract the attention of their managers/directors to their duties and responsibilities.

AML Risks associated with SARS

The Challenge For A MLRO And Or An Employee (Including Directors) Can Be Deciding… Am I Suspicious? There is a growing belief among many financial services professionals that MLRO’s and employees are “Damned if they do and damned if they don’t”!!! Failing to submit an appropriate Suspicious Activity Report (SAR) SAR can lead to big trouble and can result in a criminal prosecution, and as shown in the recent Jersey prosecution of a regulated business and its MLRO (AG -V- STM Fiduciary Limited and Michelle Jardine). However firms must also caution against filing unwarranted “defensive” SARs. In this part of the workshop, we will provide practical advice for the high-wire balancing act of when – and when not – to file a SAR. With limited guidance from the local courts and the regulator, firms can still look oversees to the courts (UK and elsewhere) as well as other regulatory bodies for some guidance and best practice tips. In doing so there are some chinks of light and some key lessons for all firms and their employees (including directors and MLROs).

Lessons Learned From Regulatory Onsite Visits

(Using Case Studies From Other Jurisdictions)

The workshop will make extensive reference to lessons learned from regulatory onsite visits and the findings of the regulator so that licensees in Seychelles can draw on best practices in other jurisdictions to ensure that they embed these findings in their systems and procedures. As usual, the trainer will use case studies, many of which are based on real-life stories. Cases that will be referred to in the training include Minerva v Nolan, Crédit Agricole Corporation and Investment Bank, Papadimitriou, AG v STM Fiduciaire and Michelle Jardine, Horizon Trustees (Jersey) Limited (in liquidation) (“HTJL”) amongst many others. Lessons will also be drawn from the Panama leaks.

Venue for The Workshop: Eden Bleu Hotel, Eden Island, Seychelles

Register

2016 – What are the compliance issues four months in?

Wednesday April 27, 2016 – Wednesday April 27, 2016

Map and Directions | Register

Description:

2016 – What are the compliance issues four months in?

Run in collaboration with OneStudy – OneStudy Breakfast Briefing Seminar Series

Wednesday 27th April from 8.30am to 9.30am

Venue Pomme D’or

Speaker – Mathew Beale, Managing Director of Comsure

To obtain a programme flyer or register your interest, please contact  louise@onestudytraining.co.uk.

Register

BPP – Exam Session

Tuesday December 3, 2013 – Tuesday December 3, 2013

Map and Directions | Register

Description:

Click here to book all BPP training events

ONE PROGRAMME, TWO SOLUTIONS

Whether you want to top up your CPD by attending individual sessions or gain
certification, we can assist.

BPP Professional Education in conjunction with Comsure Compliance Limited has developed the:

JERSEY REGULATORY AWARENESS PROGRAMME

Attend individual sessions or attend all 8 sessions, a 9th refresher session and complete a short exam to gain the BPP Jersey Certificate in Regulatory Awareness, demonstrating your understanding of the key elements and drivers behind the regulatory framework in Jersey.

BPP Professional Education is part of the Apollo Group – a world leader in the provision of both professional examination and skills training to the financial and
corporate sectors, specialising in open and tailored programmes.

BPP Professional Education is uniquely placed to provide business development support to Jersey businesses. We have over fifteen years experience providing training, business development and consultancy services to Jersey organisations.

We also have wider experiences and capabilities as a result of our international activities and the experience of our consultants and trainers. Whilst we have the breadth of capability that comes from an international client base, we have never lost our Jersey centric commitment. The transfer of experience and knowledge into our Jersey operation has always been one of our primary purposes. It is in fact one of the essential under pinning components of our mission statement.

“The mission of BPP Professional Education is to help people and businesses build their skills. We train for recognised professional qualifications and offer related development training to management and staff at all levels”

COMSURE’s Training services (public and in house) are designed for people working in both the financial services sector and non-financial organisations.

Comsure provides in-depth training on financial and associated concepts and provides tools that can be used in the workplace every day. Technical concepts are clearly articulated and practical examples help learners grasp the subject.

Our training courses are designed for both financial and nonfinancial staff of all levels to help them perform more effectively in their jobs.

Excellence in Financial Services Training

With an increased number of training providers in the market place, we understand that choosing the right one for your specific needs can be difficult and  daunting. What sets us apart from the rest is that rather than utilise a small number of in-house trainers we utilise specialists from different fields of expertise.

Our Commitment to You – COMSURE’s Financial Services Training, we stand for uncompromising  professionalism, quality and innovation. Our aim is to empower our delegates (and ultimately our clients) to succeed by developing their existing knowledge and skills base in their professional career.

VENUE
All sessions will take place at BPP, 19 Hilary Street.

PRESENTATION
MATHEW BEALE FCSI AIFP,
Managing Director Comsure Compliance Limited
Mathew, is a Fellow of the Chartered Institute for Securities & Investment and founder of Comsure. Having started his career working within the asset management industry for ten years, Mathew has since focused on financial services regulation. Between 1995 and 2002, he worked for the body that is now known as the Jersey Financial Services Commission, where he was responsible for the day-to-day conduct of business of regulated entities and where he reached the position of Senior Compliance Manager. Since 2002, he has worked within private practice in all aspects of regulatory compliance including:

Assisting in the undertaking a number of reporting professional projects for the Jersey Financial Services Commission;

Being involved in the preparation of the anti-money laundering guidance notes in Mauritius;

Writing and delivering numerous training courses relating to the field of compliance for private and public bodies.

Being a senior lecturer on the International Compliance Association’s (ICA) Introductory Certificate in Compliance, the International (and UK) Diploma in Compliance and the UK Diploma in Anti-Money Laundering. During this time he was an acknowledged co-author of the materials used by the ICA in their UK and International Diplomas in Compliance.

Since 2005, he has worked within Comsure in all aspects of regulatory compliance, including:

Attending at various financial services businesses with a view to assisting them in their internal audit processes;

Developing rectification programmes for entities which had come under regulatory review;

Working in Mauritius on specialised assignments and since 2009 assisted the regulator in the Seychelles in delivering specialised training.

COSTS
You can book on individual sessions or the full programme (and get 9 sessions for the price of 8)

Individual sessions:   £125.00
Full programme (9 sessions & exam): £1,000.00

Prices do not include GST. Those organisations or individuals who are not exempt from GST will pay an additional  5%.

DISCOUNT
Organisations booking 5 or more people onto an individual session can receive a 6th place free.

TIMINGS
All sessions will run from 16:30 to 18:30

HOW TO BOOK
Simply complete the booking form at the back of this brochure and forward to Ian Lucas at BPP.

Email: ianlucas@bpp.com,
Fax: 01534 711801.

Once BPP has received your booking we will send you confirmation along with full joining instructions.

TERMS & CONDITIONS
If you need to make amendments you can email ianlucas@bpp.com. We will accept name changes at any point up to the start of the course free of charge.

If it becomes necessary to cancel a course delegate the following policy will apply:
Cancellations 28 days or more in advance, no charge/full refund
Cancellations 27 – 7 days in advance, 50% charge
Cancellations less than 7 days in advance, no refund

BPP are working in conjunction with Comsure to deliver the Jersey Regulatory Awareness Programme. All content, delivery and views expressed are those of Comsure.

CHANGE OF DATE, VENUE OR TUTOR
BPP reserves the right to change course dates, venues or tutors, or cancel in exceptional circumstances. We will of course advise you of any changes as early as possible.

 

UNDERSTANDING THE JERSEY REGULATORY
ENVIRONMENT – AN OVERVIEW  (PART 1)
29 JANUARY
– Introduction to compliance and designing a compliance framework
– Know your way round the JFSC
– Understand the JFSC structure
– Laws, codes, and other rules an overview
– JFSC communications
– Understanding JFSC visits and the risk based approach
– What to keep an eye out for – what is coming up?

UNDERSTANDING THE JERSEY REGULATORY
ENVIRONMENT – AN OVERVIEW  (PART 2)
12 FEBRUARY
This session will consider Policy Statements (PS) which record the Commission’s policies in respect of certain aspects of legislation or regulatory Approach and Guidance Notes (GN) that provide guidance on complying with either a legislative or regulatory requirement. specifically it will look at:
– FS(J)L Licensing Policy – December 2010
– Outsourcing (across all sectors) and Delegation by Jersey
– Certified Funds and FSBs – May 2011

UNDERSTANDING THE NATURE OF PRINCIPLE BASED REGULATION IN JERSEY AND THE APPLICATION OF THE CODES OF PRACTICE:
12 MARCH
An overview of principles, rules and expectations. A review of the key principles such as:
– Conducting business with integrity.
– Having the highest regard for the interests of its clients.
– Organising and controlling affairs effectively for the proper performance of business activities
– Being able to demonstrate the existence of adequate risk management systems.
– Being transparent in its business arrangements.
– Maintaining, and being able to demonstrate the existence of, both adequate financial resources and adequate insurance.
– Dealing with the Commission and other authorities in Jersey in an open and co-operative manner.
– Avoiding statements that are misleading, false or deceptive.

ANTI MONEY LAUNDERING AND COMBATING TERRORIST FINANCING – AN OVERVIEW
16 APRIL
– The AML environment – international developments, laws and orders and FSC rules
– AML Policies and procedures – what is the difference and why they are important
Probability of an offence crystallising – using leading case studies
– Risk of not reporting – using real case studies
– Understanding what ML & TF is – demystifying the myths!!
– Government and other Sanction risk  (e.g. HMT, EU, OFAC etc.)
– Understanding the difference between  KYC – ID&V – CDD
– Profiling customers – what does it mean, what you need to do
– Building and using trigger events
– Summary and key messages

THE AML HANDBOOK
14 MAY
– Corporate governance
– Customer due diligence requirements
– Identification and verification of identity
– Monitoring activity and transactions
– Reporting money laundering and terrorist financing activity
– Vetting, awareness and training of employees
– Record keeping
– Existing Customers

COMPLIANCE AND GOVERNANCE IN A JERSEY REGULATED BUSINESS
18 JUNE
– An overview of the JFSC the JFSCs expectations
– Span of control
– The board and senior management – what should they be doing?
– Considering the functions of the CO, MLCO, MLRO
– Internal systems and controls
– Integrity and competence including Continuing Professional Development (CPD)
– Complaints
– Record Keeping

ENFORCEMENT, THE LAW AND THE JFSC
10 SEPTEMBER
– An overview of the process
– Supervision to enforcement
– Consideration of cases

JERSEY FINANCIAL SERVICES COMMISSION COMMENTS AND OBSERVATIONS.
15 OCTOBER
– Onsite visit reports
– Mystery shopping findings
– Dear CEO letters
– Post examination mediation schedules [PEMS]

REVISION SESSION
19 NOVEMBER
Refresher session covering the main points from the above
8 sessions

EXAM SESSION
3 DECEMBER
Complete a short examination to obtain the Jersey Certificate in Regulatory Awareness

Register

BPP Jersey Certificate in Regulatory Awareness – Exam Sessions

Thursday January 31, 2013 – Thursday January 31, 2013

Map and Directions | Register

Description:

BPP Professional Education:

BPP Professional Education is part of the Apollo Group – a world leader in the provision of both professional examination and skills training to the financial and corporate sectors, specialising in open and tailored programmes.

BPP Professional Education is uniquely placed to provide business development support to Jersey businesses. We have over fifteen years experience providing training, business development and consultancy services to Jersey organisations. We also have wider experiences and capabilities as a result of our international activities and the experience of our consultants and trainers. Whilst we have the breadth of capability that comes from an international client base, we have never lost our Jersey centric commitment. The transfer of experience and knowledge into our Jersey operation has always been one of our primary purposes. It is in fact one of the essential under pinning components of our mission statement.

“The mission of BPP Professional Education is to help people and businesses build their skills. We train for recognised professional qualifications and offer related development training to management and staff at all levels”.

Comsure:

COMSURE’s Training services (public and in house) is designed for people working in both the financial services sector and non-financial organisations.

Comsure provides in-depth training on financial and associated concepts and provides tools that can be used in the workplace every day. Technical concepts are clearly articulated and practical examples help learners grasp the subject.

Our training courses are designed for both financial and non-financial staff of all levels to help them perform more effectively in their jobs.

Excellence in Financial Services Training –

With an increased number of training providers in the market place, we understand that choosing the right one for your specific needs can be difficult and daunting. What sets us apart from the rest is that rather than utilise a small number of in-house trainers we utilise specialist from different fields of expertise.

Our Commitment to You – COMSURE’s Financial Services Training, we stand for uncompromising professionalism, quality and innovation. Our aim is to empower our delegates (and ultimately our clients) to succeed by developing their existing knowledge and skills base in their professional career.

One Programme, Two Solutions.

Whether you want to top up your CPD by attending individual sessions or gain certification, we can assist. BPP Professional Education in conjunction with Comsure Compliance Limited has developed the:

Jersey Regulatory Awareness programme

Attend individual sessions

or

Attend all 8 sessions, a 9th refresher session and complete a short exam to gain the:

BPP Jersey Certificate in Regulatory Awareness

demonstrating your understanding of the key elements and drivers behind the regulatory framework in Jersey.

Course List & Outlines

Understanding the Jersey regulatory environment – an overview / 13th March / 4:30 – 6:30 / £125

2 hours

• Introduction to compliance and designing a compliance framework
• Know your way round the JFSC
• Understand the JFSC structure
• Laws, codes, and other rules and overview
• JFSC communications
• Understanding JFSC visits and the risk based approach
• What to keep an eye out for – what is coming up?

Considering Policy Statements and Guidance Notes and other regulatory tools / 24th April / 4:30- 6:30 / £125 / 2 hours

This session will consider Policy Statements (PS) which records the Commission’s policies in respect of certain aspects of legislation or regulatory approach and Guidance Notes (GN) that provide guidance on complying with either a legislative or regulatory requirement. specifically it will look at:

• FS(J)L Licensing Policy – December 2010
• Outsourcing (across all sectors) and Delegation by Jersey Certified Funds and FSBs – May 2011

Understanding the nature of principle based regulation in Jersey and the application of the codes of practice: 22nd May / 4:30- 6:30 / £125 / 2 hours

• An overview of principles, rules and expectations. A review of the key principles such as:
• Conducting business with integrity.
• Having the highest regard for the interests of its clients.
• Organising and controlling affairs effectively for the proper performance of business activities
• Being able to demonstrate the existence of adequate risk management systems.
• Being transparent in its business arrangements.
• Maintaining, and being able to demonstrate the existence of, both adequate financial resources and adequate insurance.
• Dealing with the Commission and other authorities in Jersey in an open and co-operative manner.
• Avoiding statements that are misleading, false or deceptive.

Anti money laundering and combating terrorist financing an overview / 11th Sep / 4:30- 6:30 / £125 / 2 hours

• The AML environment – international developments, laws and orders and FSC rules
• AML Policies and procedures – what is the difference and why they are important
• Probability of an offence crystallising – using leading case studies
• Risk of not reporting – using real case studies
• Understanding what ML & TF is – demystifying the myths!!
• Government and other Sanction risk (e.g. HMT, EU, OFAC etc.)
• Understanding the difference between KYC – ID&V – CDD
• Profiling customers – what does it mean, what you need to do
• Building and using trigger events
• Summary and key messages

The AML handbook / 9th Oct / 4:30- 6:30 / £125 / 2 hours

• Corporate governance
• Customer due diligence requirements
• Identification and verification of identity
• Monitoring activity and transactions
• Reporting money laundering and terrorist financing activity
• Vetting, awareness and training of employees
• Record keeping
• Existing Customers

Compliance and governance in a Jersey regulated business / 6th Nov / 4:30- 6:30 / £125 / 2 hours

• An overview of the JFSC the JFSCs expectations
• Span of control
• The board and senior management – what should they be doing?
• Considering the functions of the CO, MLCO, MLRO
• Internal systems and controls
• Integrity and competence including Continuing Professional Development (CPD)
• Complaints
• Record Keeping

Enforcement, the law and the JFSC / 27th Nov / 4:30- 6:30 / £125 / 2 hours

• An overview of the process
• Supervision to enforcement
• Consideration of cases

Jersey Financial Services Commission comments and observations. / 15th Jan / 4:30- 6:30 / £125 / 2 hours

• Onsite visit reports
• Mystery shopping findings
• Dear CEO letters
• Post examination mediation schedules [PEMS]
• BPP Jersey Certificate in Regulatory Awareness

Revision Session / 22nd Jan / 4:30- 6:30 / FREE / 2 hours + 10 hours exam preparation time.

• Refresher session covering the main points from the above 8 sessions

Exam Session / 31st Jan / 4:30- 6:30 / FREE / 2 hours

• Complete a short examination to obtain the Jersey Certificate in Regulatory Awareness

Meet the Lead Presenter

Mathew Beale FCSI AIFP,

Managing Director Comsure Compliance Limited

Mathew, a Fellow of the Chartered Institute for Securities & Investment and founder of Comsure. Having started his career working within the asset management industry for ten years, Mathew has since focused on financial services regulation. Between 1995 and 2002, he worked for the body that is now known as the Jersey Financial Services Commission, where he was responsible for the day-to- day conduct of business of regulated entities and where he reached the position of Senior Compliance Manager. Since 2002, he has worked within private practice in all aspects of regulatory compliance including:

• Assisting in the undertaking a number of reporting professional projects for the Jersey Financial Services Commission;
• Being involved in the preparation of the anti-money laundering guidance notes in Mauritius;
• Writing and delivering numerous training courses relating to the field of compliance for private and public bodies.
• Being a senior lecturer on the International Compliance Association’s (ICA) Introductory 
Certificate in Compliance, the International (and UK) Diploma in Compliance and the UK Diploma in Anti-Money Laundering. During this time he was an acknowledged co-author of the materials used by the ICA in their UK and International Diplomas in Compliance.

Since 2005, he has worked within Comsure in all aspects of regulatory compliance, including:

• Attending at various financial services businesses with a view to assisting them in their internal audit processes;
• Developing rectification programmes for entities which had come under regulatory review;
• Working in Mauritius on specialised assignments and since 2009 assisted the regulator in the Seychelles in delivering specialised training.


Venue and Further Course Details

How to find us

From West Centre take Peter Street alongside Atlantique Seafood Restaurant, and take first turning on right into Hilary Street.We are the second building on the left.

Via Airport

From Airport when reaching roundabout, continue straight on until you reach a filter in turn. Take the right turning and continue along Beaumont Hill. You will then reach another filter in turn at the bottom of the hill, take the left hand side turning and continue along Victoria Avenue going under the underpass and passing through the tunnel. Take the first left after the tunnel (Grenville Street) and then then the first right at the traffic lights. Turn left into James Street and then take the first turning on the left (by the Mayfair Hotel) and take the second turning on the left. Continue across the road and you are at Hilary Street.

Loyalty Discounts

Anyone attending all 8 sessions can receive the 9th refresher session free.

Organisations booking 8 or more people onto a session can receive one of these places free.

Amendments and Cancellations

If you need to make any amendments you can do so by email: ianlucas@bpp.com

BPP will accept name changed at any point up to the start of the course free of charge.

If it becomes necessary to cancel a course delegate the following policy will apply. Cancellations 28 days or more in advance: No charge / full refund
Cancellations 28-7 days in advance: 50% charge
Cancellations less than 7 days in advance: no refund

Change of date, tutor or venue

BPP reserves the right to change course dates, venues and tutors or cancel in exceptional circumstances.We will of course advise you of any charges as early as possible.

Register

BPP Jersey Certificate in Regulatory Awareness – Revision Session

Tuesday January 22, 2013 – Tuesday January 22, 2013

Map and Directions | Register

Description:

BPP Professional Education:

BPP Professional Education is part of the Apollo Group – a world leader in the provision of both professional examination and skills training to the financial and corporate sectors, specialising in open and tailored programmes.

BPP Professional Education is uniquely placed to provide business development support to Jersey businesses. We have over fifteen years experience providing training, business development and consultancy services to Jersey organisations. We also have wider experiences and capabilities as a result of our international activities and the experience of our consultants and trainers. Whilst we have the breadth of capability that comes from an international client base, we have never lost our Jersey centric commitment. The transfer of experience and knowledge into our Jersey operation has always been one of our primary purposes. It is in fact one of the essential under pinning components of our mission statement.

“The mission of BPP Professional Education is to help people and businesses build their skills. We train for recognised professional qualifications and offer related development training to management and staff at all levels”.

Comsure:

COMSURE’s Training services (public and in house) is designed for people working in both the financial services sector and non-financial organisations.

Comsure provides in-depth training on financial and associated concepts and provides tools that can be used in the workplace every day. Technical concepts are clearly articulated and practical examples help learners grasp the subject.

Our training courses are designed for both financial and non-financial staff of all levels to help them perform more effectively in their jobs.

Excellence in Financial Services Training –

With an increased number of training providers in the market place, we understand that choosing the right one for your specific needs can be difficult and daunting. What sets us apart from the rest is that rather than utilise a small number of in-house trainers we utilise specialist from different fields of expertise.

Our Commitment to You – COMSURE’s Financial Services Training, we stand for uncompromising professionalism, quality and innovation. Our aim is to empower our delegates (and ultimately our clients) to succeed by developing their existing knowledge and skills base in their professional career.

One Programme, Two Solutions.

Whether you want to top up your CPD by attending individual sessions or gain certification, we can assist. BPP Professional Education in conjunction with Comsure Compliance Limited has developed the:

Jersey Regulatory Awareness programme

Attend individual sessions

or

Attend all 8 sessions, a 9th refresher session and complete a short exam to gain the:

BPP Jersey Certificate in Regulatory Awareness

demonstrating your understanding of the key elements and drivers behind the regulatory framework in Jersey.

Course List & Outlines

Understanding the Jersey regulatory environment – an overview / 13th March / 4:30 – 6:30 / £125

2 hours

• Introduction to compliance and designing a compliance framework
• Know your way round the JFSC
• Understand the JFSC structure
• Laws, codes, and other rules and overview
• JFSC communications
• Understanding JFSC visits and the risk based approach
• What to keep an eye out for – what is coming up?

Considering Policy Statements and Guidance Notes and other regulatory tools / 24th April / 4:30- 6:30 / £125 / 2 hours

This session will consider Policy Statements (PS) which records the Commission’s policies in respect of certain aspects of legislation or regulatory approach and Guidance Notes (GN) that provide guidance on complying with either a legislative or regulatory requirement. specifically it will look at:

• FS(J)L Licensing Policy – December 2010
• Outsourcing (across all sectors) and Delegation by Jersey Certified Funds and FSBs – May 2011

Understanding the nature of principle based regulation in Jersey and the application of the codes of practice: 22nd May / 4:30- 6:30 / £125 / 2 hours

• An overview of principles, rules and expectations. A review of the key principles such as:
• Conducting business with integrity.
• Having the highest regard for the interests of its clients.
• Organising and controlling affairs effectively for the proper performance of business activities
• Being able to demonstrate the existence of adequate risk management systems.
• Being transparent in its business arrangements.
• Maintaining, and being able to demonstrate the existence of, both adequate financial resources and adequate insurance.
• Dealing with the Commission and other authorities in Jersey in an open and co-operative manner.
• Avoiding statements that are misleading, false or deceptive.

Anti money laundering and combating terrorist financing an overview / 11th Sep / 4:30- 6:30 / £125 / 2 hours

• The AML environment – international developments, laws and orders and FSC rules
• AML Policies and procedures – what is the difference and why they are important
• Probability of an offence crystallising – using leading case studies
• Risk of not reporting – using real case studies
• Understanding what ML & TF is – demystifying the myths!!
• Government and other Sanction risk (e.g. HMT, EU, OFAC etc.)
• Understanding the difference between KYC – ID&V – CDD
• Profiling customers – what does it mean, what you need to do
• Building and using trigger events
• Summary and key messages

The AML handbook / 9th Oct / 4:30- 6:30 / £125 / 2 hours

• Corporate governance
• Customer due diligence requirements
• Identification and verification of identity
• Monitoring activity and transactions
• Reporting money laundering and terrorist financing activity
• Vetting, awareness and training of employees
• Record keeping
• Existing Customers

Compliance and governance in a Jersey regulated business / 6th Nov / 4:30- 6:30 / £125 / 2 hours

• An overview of the JFSC the JFSCs expectations
• Span of control
• The board and senior management – what should they be doing?
• Considering the functions of the CO, MLCO, MLRO
• Internal systems and controls
• Integrity and competence including Continuing Professional Development (CPD)
• Complaints
• Record Keeping

Enforcement, the law and the JFSC / 27th Nov / 4:30- 6:30 / £125 / 2 hours

• An overview of the process
• Supervision to enforcement
• Consideration of cases

Jersey Financial Services Commission comments and observations. / 15th Jan / 4:30- 6:30 / £125 / 2 hours

• Onsite visit reports
• Mystery shopping findings
• Dear CEO letters
• Post examination mediation schedules [PEMS]
• BPP Jersey Certificate in Regulatory Awareness

Revision Session / 22nd Jan / 4:30- 6:30 / FREE / 2 hours + 10 hours exam preparation time.

• Refresher session covering the main points from the above 8 sessions

Exam Session / 31st Jan / 4:30- 6:30 / FREE / 2 hours

• Complete a short examination to obtain the Jersey Certificate in Regulatory Awareness

Meet the Lead Presenter

Mathew Beale FCSI AIFP,

Managing Director Comsure Compliance Limited

Mathew, a Fellow of the Chartered Institute for Securities & Investment and founder of Comsure. Having started his career working within the asset management industry for ten years, Mathew has since focused on financial services regulation. Between 1995 and 2002, he worked for the body that is now known as the Jersey Financial Services Commission, where he was responsible for the day-to- day conduct of business of regulated entities and where he reached the position of Senior Compliance Manager. Since 2002, he has worked within private practice in all aspects of regulatory compliance including:

• Assisting in the undertaking a number of reporting professional projects for the Jersey Financial Services Commission;
• Being involved in the preparation of the anti-money laundering guidance notes in Mauritius;
• Writing and delivering numerous training courses relating to the field of compliance for private and public bodies.
• Being a senior lecturer on the International Compliance Association’s (ICA) Introductory 
Certificate in Compliance, the International (and UK) Diploma in Compliance and the UK Diploma in Anti-Money Laundering. During this time he was an acknowledged co-author of the materials used by the ICA in their UK and International Diplomas in Compliance.

Since 2005, he has worked within Comsure in all aspects of regulatory compliance, including:

• Attending at various financial services businesses with a view to assisting them in their internal audit processes;
• Developing rectification programmes for entities which had come under regulatory review;
• Working in Mauritius on specialised assignments and since 2009 assisted the regulator in the Seychelles in delivering specialised training.


Venue and Further Course Details

How to find us

From West Centre take Peter Street alongside Atlantique Seafood Restaurant, and take first turning on right into Hilary Street.We are the second building on the left.

Via Airport

From Airport when reaching roundabout, continue straight on until you reach a filter in turn. Take the right turning and continue along Beaumont Hill. You will then reach another filter in turn at the bottom of the hill, take the left hand side turning and continue along Victoria Avenue going under the underpass and passing through the tunnel. Take the first left after the tunnel (Grenville Street) and then then the first right at the traffic lights. Turn left into James Street and then take the first turning on the left (by the Mayfair Hotel) and take the second turning on the left. Continue across the road and you are at Hilary Street.

Loyalty Discounts

Anyone attending all 8 sessions can receive the 9th refresher session free.

Organisations booking 8 or more people onto a session can receive one of these places free.

Amendments and Cancellations

If you need to make any amendments you can do so by email: ianlucas@bpp.com

BPP will accept name changed at any point up to the start of the course free of charge.

If it becomes necessary to cancel a course delegate the following policy will apply. Cancellations 28 days or more in advance: No charge / full refund
Cancellations 28-7 days in advance: 50% charge
Cancellations less than 7 days in advance: no refund

Change of date, tutor or venue

BPP reserves the right to change course dates, venues and tutors or cancel in exceptional circumstances.We will of course advise you of any charges as early as possible.

Register

BPP Jersey Certificate in Regulatory Awareness – Jersey Financial Services Commission comments

Tuesday January 15, 2013 – Tuesday January 15, 2013

Map and Directions | Register

Description:

BPP Professional Education:

BPP Professional Education is part of the Apollo Group – a world leader in the provision of both professional examination and skills training to the financial and corporate sectors, specialising in open and tailored programmes.

BPP Professional Education is uniquely placed to provide business development support to Jersey businesses. We have over fifteen years experience providing training, business development and consultancy services to Jersey organisations. We also have wider experiences and capabilities as a result of our international activities and the experience of our consultants and trainers. Whilst we have the breadth of capability that comes from an international client base, we have never lost our Jersey centric commitment. The transfer of experience and knowledge into our Jersey operation has always been one of our primary purposes. It is in fact one of the essential under pinning components of our mission statement.

“The mission of BPP Professional Education is to help people and businesses build their skills. We train for recognised professional qualifications and offer related development training to management and staff at all levels”.

Comsure:

COMSURE’s Training services (public and in house) is designed for people working in both the financial services sector and non-financial organisations.

Comsure provides in-depth training on financial and associated concepts and provides tools that can be used in the workplace every day. Technical concepts are clearly articulated and practical examples help learners grasp the subject.

Our training courses are designed for both financial and non-financial staff of all levels to help them perform more effectively in their jobs.

Excellence in Financial Services Training –

With an increased number of training providers in the market place, we understand that choosing the right one for your specific needs can be difficult and daunting. What sets us apart from the rest is that rather than utilise a small number of in-house trainers we utilise specialist from different fields of expertise.

Our Commitment to You – COMSURE’s Financial Services Training, we stand for uncompromising professionalism, quality and innovation. Our aim is to empower our delegates (and ultimately our clients) to succeed by developing their existing knowledge and skills base in their professional career.

One Programme, Two Solutions.

Whether you want to top up your CPD by attending individual sessions or gain certification, we can assist. BPP Professional Education in conjunction with Comsure Compliance Limited has developed the:

Jersey Regulatory Awareness programme

Attend individual sessions

or

Attend all 8 sessions, a 9th refresher session and complete a short exam to gain the:

BPP Jersey Certificate in Regulatory Awareness

demonstrating your understanding of the key elements and drivers behind the regulatory framework in Jersey.

Course List & Outlines

Understanding the Jersey regulatory environment – an overview / 13th March / 4:30 – 6:30 / £125

2 hours

• Introduction to compliance and designing a compliance framework
• Know your way round the JFSC
• Understand the JFSC structure
• Laws, codes, and other rules and overview
• JFSC communications
• Understanding JFSC visits and the risk based approach
• What to keep an eye out for – what is coming up?

Considering Policy Statements and Guidance Notes and other regulatory tools / 24th April / 4:30- 6:30 / £125 / 2 hours

This session will consider Policy Statements (PS) which records the Commission’s policies in respect of certain aspects of legislation or regulatory approach and Guidance Notes (GN) that provide guidance on complying with either a legislative or regulatory requirement. specifically it will look at:

• FS(J)L Licensing Policy – December 2010
• Outsourcing (across all sectors) and Delegation by Jersey Certified Funds and FSBs – May 2011

Understanding the nature of principle based regulation in Jersey and the application of the codes of practice: 22nd May / 4:30- 6:30 / £125 / 2 hours

• An overview of principles, rules and expectations. A review of the key principles such as:
• Conducting business with integrity.
• Having the highest regard for the interests of its clients.
• Organising and controlling affairs effectively for the proper performance of business activities
• Being able to demonstrate the existence of adequate risk management systems.
• Being transparent in its business arrangements.
• Maintaining, and being able to demonstrate the existence of, both adequate financial resources and adequate insurance.
• Dealing with the Commission and other authorities in Jersey in an open and co-operative manner.
• Avoiding statements that are misleading, false or deceptive.

Anti money laundering and combating terrorist financing an overview / 11th Sep / 4:30- 6:30 / £125 / 2 hours

• The AML environment – international developments, laws and orders and FSC rules
• AML Policies and procedures – what is the difference and why they are important
• Probability of an offence crystallising – using leading case studies
• Risk of not reporting – using real case studies
• Understanding what ML & TF is – demystifying the myths!!
• Government and other Sanction risk (e.g. HMT, EU, OFAC etc.)
• Understanding the difference between KYC – ID&V – CDD
• Profiling customers – what does it mean, what you need to do
• Building and using trigger events
• Summary and key messages

The AML handbook / 9th Oct / 4:30- 6:30 / £125 / 2 hours

• Corporate governance
• Customer due diligence requirements
• Identification and verification of identity
• Monitoring activity and transactions
• Reporting money laundering and terrorist financing activity
• Vetting, awareness and training of employees
• Record keeping
• Existing Customers

Compliance and governance in a Jersey regulated business / 6th Nov / 4:30- 6:30 / £125 / 2 hours

• An overview of the JFSC the JFSCs expectations
• Span of control
• The board and senior management – what should they be doing?
• Considering the functions of the CO, MLCO, MLRO
• Internal systems and controls
• Integrity and competence including Continuing Professional Development (CPD)
• Complaints
• Record Keeping

Enforcement, the law and the JFSC / 27th Nov / 4:30- 6:30 / £125 / 2 hours

• An overview of the process
• Supervision to enforcement
• Consideration of cases

Jersey Financial Services Commission comments and observations. / 15th Jan / 4:30- 6:30 / £125 / 2 hours

• Onsite visit reports
• Mystery shopping findings
• Dear CEO letters
• Post examination mediation schedules [PEMS]
• BPP Jersey Certificate in Regulatory Awareness

Revision Session / 22nd Jan / 4:30- 6:30 / FREE / 2 hours + 10 hours exam preparation time.

• Refresher session covering the main points from the above 8 sessions

Exam Session / 31st Jan / 4:30- 6:30 / FREE / 2 hours

• Complete a short examination to obtain the Jersey Certificate in Regulatory Awareness

Meet the Lead Presenter

Mathew Beale FCSI AIFP,

Managing Director Comsure Compliance Limited

Mathew, a Fellow of the Chartered Institute for Securities & Investment and founder of Comsure. Having started his career working within the asset management industry for ten years, Mathew has since focused on financial services regulation. Between 1995 and 2002, he worked for the body that is now known as the Jersey Financial Services Commission, where he was responsible for the day-to- day conduct of business of regulated entities and where he reached the position of Senior Compliance Manager. Since 2002, he has worked within private practice in all aspects of regulatory compliance including:

• Assisting in the undertaking a number of reporting professional projects for the Jersey Financial Services Commission;
• Being involved in the preparation of the anti-money laundering guidance notes in Mauritius;
• Writing and delivering numerous training courses relating to the field of compliance for private and public bodies.
• Being a senior lecturer on the International Compliance Association’s (ICA) Introductory 
Certificate in Compliance, the International (and UK) Diploma in Compliance and the UK Diploma in Anti-Money Laundering. During this time he was an acknowledged co-author of the materials used by the ICA in their UK and International Diplomas in Compliance.

Since 2005, he has worked within Comsure in all aspects of regulatory compliance, including:

• Attending at various financial services businesses with a view to assisting them in their internal audit processes;
• Developing rectification programmes for entities which had come under regulatory review;
• Working in Mauritius on specialised assignments and since 2009 assisted the regulator in the Seychelles in delivering specialised training.


Venue and Further Course Details

How to find us

From West Centre take Peter Street alongside Atlantique Seafood Restaurant, and take first turning on right into Hilary Street.We are the second building on the left.

Via Airport

From Airport when reaching roundabout, continue straight on until you reach a filter in turn. Take the right turning and continue along Beaumont Hill. You will then reach another filter in turn at the bottom of the hill, take the left hand side turning and continue along Victoria Avenue going under the underpass and passing through the tunnel. Take the first left after the tunnel (Grenville Street) and then then the first right at the traffic lights. Turn left into James Street and then take the first turning on the left (by the Mayfair Hotel) and take the second turning on the left. Continue across the road and you are at Hilary Street.

Loyalty Discounts

Anyone attending all 8 sessions can receive the 9th refresher session free.

Organisations booking 8 or more people onto a session can receive one of these places free.

Amendments and Cancellations

If you need to make any amendments you can do so by email: ianlucas@bpp.com

BPP will accept name changed at any point up to the start of the course free of charge.

If it becomes necessary to cancel a course delegate the following policy will apply. Cancellations 28 days or more in advance: No charge / full refund
Cancellations 28-7 days in advance: 50% charge
Cancellations less than 7 days in advance: no refund

Change of date, tutor or venue

BPP reserves the right to change course dates, venues and tutors or cancel in exceptional circumstances.We will of course advise you of any charges as early as possible.

Register

General AML for all Employers

Thursday November 14, 2013 – Thursday November 14, 2013

Map and Directions | Register

Description:

GENERAL AML FOR ALL EMPLOYERS

The Ultimate Update on Money Laundering Risk!

All financial businesses are obliged to provide employees with information on their responsibilities regarding anti-money laundering and the financing of terrorism. This requirement includes temporary and contract staff, and the staff of only third parties fulfilling a function under an outsourcing agreement. In order to comply with requirements, employers must ensure staff achieve and maintain an appropriate level of competence. Comsure training will refresh awareness of the requirements under the Money Laundering rules. This workshop includes reference to the regulatory handbook, regulatory objectives, enforcement actions, and other regulatory best practice guidance.

This workshop provides a comprehensive, practical analysis of anti-money laundering legislation and implementation. We will help get you and your employees to grips with the complexities associated with AML risk.

This highly practical workshop is filled with the latest developments both regulatory and otherwise. It is designed for all relevant employees, both customer facing and non-customer facing, who need to have an appreciation of money laundering risk. Attending these courses will satisfy the regulatory requirement on the firm to ensure their staff are regularly made aware of the Anti-Money Laundering regime.

DETAILS

Date: 14th November 2013

Time:
08:15 Registration
08:30 Start
11:30 Finish

Venue: Royal Yacht Hotel

CPD: 3 Hours

Cost: £110.00

If you book by the 31st October you will receive a 20% discount

For every 3 employees on any one session receive a 4th place FREE

GENERAL AML FOR ALL EMPLOYERS – WORKSHOP AGENDA

WORKSHOP STYLE
This workshop is designed to be participative throughout. The agenda combines key formal presentations, case studies and syndicate discussion sessions. There will be ample opportunity for delegates to benchmark the experiences with industry peers and raise issues of concern to their organisation, either confidentially or in the open session.

An optional online competency test is available to each attendee. The results of the test are made available to the firm’s MLRO (additional cost of £35 per employee).

1. AML Policies and Procedures
2. What is the difference and why are they important?
3. Probability of an offence crystallising – using leading case studies
4. Risk of not reporting – using real case studies
5. Understanding what ML & TF is – dispelling the myths!
6. Government and other Sanction risk (e.g. HMT, EU, OFAC etc)
7. Understanding the difference between KYC – ID&V – CDD
8. Profiling customers – what does it mean?
9. What you need to do
10. Building and using trigger events
11. Summary and key messages

IN-HOUSE TRAINING – Hold this course at your convenience
This programme and the issues it addresses can be delivered at a time, location and place to fit your business schedule. In-house training can be tailored to focus on the specific needs and challenges facing your staff. We will develop and provide all course materials and a trainer to make your investment a success.

For details on in-house training for this particular workshop, please contact Mathew Beale.
Call: +44 (0)1534 626841 or Email: mathewbeale@comsuregroup.com

Mathew Beale, Director of Comsure Group
Mathew Beale, FCSI AIFP, is a Fellow of the Chartered Institute for Securities & Investment and founder of Comsure. Between 1995 and 2002, he worked for the body that is now known as the Jersey Financial Services Commission, where he was responsible for the day-to-day conduct of business of regulated entities and where he reached the position of Senior Compliance Manager. Since 2002, he has worked within private practice in all aspects of regulatory compliance including: Assisting in the undertaking of reporting professional projects for the Jersey Financial Services Commission; Being involved in the preparation of the anti-money laundering guidance notes in Mauritius; Writing and delivering training courses relating to the field of compliance for private and public bodies.

Mathew is also a senior lecturer on the International Compliance Association’s (ICA) Introductory Certificate in Compliance, the International (and UK) Diploma in Compliance and the UK Diploma in Anti- Money Laundering. He is also an acknowledged co-author of the materials used by the ICA in their UK and International Diplomas in Compliance. Since 2005, he has worked within Comsure in all aspects of regulatory compliance; taking him as far as Mauritius on specialised assignments and the Seychelles where he has assisted the regulator in delivering specialised training.

Register

Breakfast and Learn – A Quarterly Guernsey Regulatory Update and Briefing (Nov)

Thursday November 29, 2012 – Thursday November 29, 2012

Map and Directions | Register

Description:

OFFER! For every 3 employees on “any one session” receive a 4th place FREE (4 places for the price of 3).

There never seems to be enough time during the day to get everything done. You can’t spare the time to undertake training because there is so much work to be done, but you also can’t neglect your CPD training and development. The Comsure breakfast and learn programme maybe the solution. A quarterly 1.5 hour training event starting at 08:30 is an event where you can get your fill of cutting edge knowledge, a bacon sandwich (veggie alternative also available) and be back at your desk for elevenses….!!

Dates: 10th February / 24th May / 6th September / 29th November

Time:

08:15 Registration

08:30 Start
10:00 Finish

Venue: The Old Government Hotel & Spa

Cost: £80.00

– Sign up for all 4 and receive 10% discount

– For every 3 employees on “any one session” receive a 4th place FREE (4 places for the price of 3).

Who should attend?:

1. MDs 2. COs 3. MLROs 4. Senior Managers 5. NEDs 6. Other Interested Parties

About your Speaker

Paul Wilkes

Group Partner, Risk & Regulatory Team

The Comsure breakfast and learn speakers are from the Collas Crill’s Risk and Regulatory Team and will include Paul Wilkes who is a Group Partner in the Risk and Regulatory Team.

During the year Paul will be supported by his fellow team members including Wayne Atkinson, Michael Adkins and Ben Havard.

Collas Crill’s Risk and Regulatory Team provide a broad range of services to assist regulated businesses in dealing with the ever increasing pressure in the areas of compliance, regulation and risk management. Their work ranges from strategic matters to specific operational issues, with a view to ensuring that organisations, and their staff, remain protected from the risk of investigations, prosecution, penalties and even loss of licence. The team works extensively with established regulated businesses from every sector, helping them to improve their processes or deal with new issues as they arise. They also have a wealth of experience in steering new ventures through the traps of the establishment and licensing phase.

Collas Crill’s team of risk and regulatory specialists will discuss the current regulatory landscape, and share valuable lessons from the front line.

BREAKFAST AND LEARN
A QUARTERLY REGULATORY UPDATE AND BRIEFING

Breakfast and learn – structure

1. Regulatory and Compliance Update – [Mathew Beale – MD Comsure]

This part of the session will take up to 15 – 20 minutes depending on market events and updates. The session will focus on regulatory market issues such and anti money laundering initiatives and updates from Jersey, the UK and further afield, including matters from FATF, transparency international and other such bodies.

2. Specific topic – Guernsey Collas Crill team – the 2012 programme will look at the following:

• a. QTR1 – Corporate Governance – The Guernsey Financial Services Commission (GFSC) has issued its Code of Corporate Governance. The Code applies to all companies holding licences from the GFSC under relevant regulatory laws such as banks, captive insurance managers and fiduciaries as well as investment funds and provides a statement of what the commission views as good corporate governance practices. This workshop will look at what needs to be done as a result of the Code’s introduction, when and why. It also provides a valuable lead into workshops 2, 3 and 4. 
Q1 will be by Paul Wilkes (a group partner) and Wayne Atkinson (a senior associate)
• b. QTR2 – The Compliance Monitoring Programme (CMP) – Whether you work in an investment business or another sector (bank, insurance, trust etc) a CMP is an essential tool to map your compliance with both external and internal rules and demonstrate that you have considered how you meet your regulatory obligations and have mitigated the risks associated with your business. This workshop will consider what an effective CMP is and how it should be implemented. 
Q2 will be by Wayne Atkinson and Ben Havard (an associate)
• c. QTR3 – Money Laundering – answering the questions you have always been afraid to ask. – if you are struggling to interpret the requirements of the handbook and would like some assistance, this workshop is designed to help. The workshop has been designed to assist firms not only to build appropriate policies and procedures to prevent and detect money laundering, but to manage the risk of not doing it the way the GFSC want you to! 
Q3 will be by Michael Adkins (a senior associate) and Ben Havard
• d. QTR4 – Dealing With The Regulator When Things Go Wrong – it is critical that all regulated businesses deal with the regulator in an open and honest manner. But what happens when things go wrong? What should you do and how should you do it? This workshop will look at the GFSC enforcement process that ranges from a poor regulatory visit resulting and compliance & operational remediation through to something more serious including revoking a regulatory licence and fining. 
Q4 will be by Paul Wilkes and Michael Adkins

Register