IMS and Eukleia Traning breakfast seminar - Compliance training in a testing regulatory world

The reputational and regulatory risks associated with staff misconduct have been illustrated by a raft of well-publicised enforcements during the course of the year. Whilst training cannot guarantee good conduct, knowledge and understanding of the legal requirements and ethical expectations, it does however assist staff to manage their personal risk. Training is also a crucial component of a firm's compliance and risk mitigation systems and controls.
The seminar will be delivered by IMS and Eukleia Training and will also feature a presentation from Kate Haswell, Compliance Officer at CQS, a global multi-strategy asset manager, who will discuss CQS' own compliance training challenges and solutions.
The briefing provides senior management and compliance officers with a best practice guide on how to design and deliver an effective and evolving compliance training programme that meets the various regulatory and statutory requirements, providing a foundation to protecting your firm from risk.
The following topics will be covered:
Training Must Haves - Peter Moore, Head of regulation and compliance, The IMS Group
What training must you do? What training should you do?Summary of FSA and statutory imperativesHow often?Pointers from recent casesWhat's next?How to Train Effectively & Powerfully - Patrick Thompson, Chief Executive, Eukleia Training
Tips & PitfallsApproachesAssessments & Management InformationTraining at CQS – Kate Haswell, Compliance Officer, CQS
How we do itWhat we've learntA forward lookThis seminar is free to attend. To register please click here or email Nicole Ratinon providing your company name and the names and number of attendees from your firm.
Location: The Westbury Hotel, Mayfair, on the corner of Conduit Street and Bond Street, W1S 2YF
Date: Thursday, 27th September 2012
Time: 08:00 Registration and Breakfast           08:30 Seminar Begins           09:30 Networking and Q&A