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Understanding Regulation and Compliance in Investment Management Firms

A highly interactive and practical one day course for managers and staff working within Investment Management, or in firms providing support services. The course is delivered at an introductory to intermediate level and aimed at staff relatively new to investment management or moving into a Compliance role. It will also be useful as a refresher for anyone needing to review their understanding of the conduct of business rules and changes from new regulation. The programme covers the elements of regulation that are important to Investment businesses and considers what impact regulation has when developing and positioning product and service offerings to distributors and clients alike. There will be input from a Senior Compliance Practitioner to discuss the regulatory landscape and a case study on how the business rules are applied in practice.

Course dates and venues

28 Jun 2017: The Investment Association, 23 Camomile Street, London, EC3A 7LL

12 Oct 2017: The Investment Association, 23 Camomile Street, London, EC3A 7LL

COURSE BROCHURE - CLICK HERE

Download the course brochure for further information on the course background, programme details, objectives and agenda. The booking form is at the end of the document.