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Seminars and Workshops

The Investment Association runs many events for its member firms’ employees. You can find out more on the members area of the website. It also runs events for policy makers and others interested in the industry.

If you are interested in learning more please contact Ryan White

Qualifications for the sector

Qualifications requirements will depend on your role. The Investment Association and its member firms work with the Chartered Institute for Securities & Investment and the CFA Society of the UK to help develop qualifications and continuing professional development programmes.

Training courses

The Investment Association has developed a number of training courses for people in the industry:

An Introduction to the New Conduct Rules (COCON) - half day

An Introduction to the New Senior Manager & Certification Regime (SM&CR) - half day

Approved persons - 1 day

Capital Adequacy - half day introductory & 1 day

Client assets and client money (CASS) - 1 day

Certification – Building your process and identifying your populations - half day

Conduct Risk - 1 day

Derivatives - 1 day

Derivatives - half day introductory

Financial markets - 1 day

Investment risk - half day

Institutional - 2 days introductory

Market Abuse Regulation - half day

Preparing for an FCA Visit and Interview - half day

Preparing your Board for the new SM&CR- half day

Reasonable Steps - half day

Regulation and compliance - 1 day

Retail - 2 days introductory

Risk management - 1 day

Regulatory expectations in relation to whistleblowing - half day

Regulatory references: When your past comes back to haunt you - half day

SM&CR - A Non Executive Directors Perspective - half day

SM&CR - The CEO'S Perspective - half day

SYSC Course - 1 day

Training and Competence and the Certification Regime - 1 day

What are the HR implications of SM&CR? - half day

What the new Code of Conduct means for Legal and Compliance- half day

In-house Training

Our courses are available to members and non-members and can be customised for firms to hold in their offices, which may be more cost-effective for larger numbers of staff. Please contact Ryan White for more information.