Introduction to Compliance
Refreshed September 2024 | CPD time: 1 Hour 30 Minutes
The focus of this module is on compliance within the UK financial services regulatory system. However, it is recognised that, for large financial institutions operating in multiple jurisdictions and markets in particular, the outlook for financial services compliance is global and, as such, multi-layered and complex. Accordingly, for readers not based in the UK, the core compliance concepts outlined in this module are relevant irrespective of jurisdiction and can be applied equally by firms operating in the UK or elsewhere.
1. Introduction to Financial Services Compliance
2. Who in a Firm is Responsible for Compliance?
3. The Compliance Function
4. The Chief Compliance Officer (CCO)
5. Different Regulatory Approaches and Compliance Models
6. Relationship with the Regulators and Oversight of the Compliance Function
Module Test