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OPEN ACCESS

Workshops for compliance teams & beyond

COURSE ACCESS DURING COVID-19 

One of the benefits of our Open Access training is learning alongside other people holding similar roles in other firms.  During Covid-19, we will continue to offer these workshops through an online classroom that allows for interaction and collaboration between attendees. 

 

A 20% discount will be applied to any open access courses attended through our online portal.  You can also register your interest for our next in-person sessions and as soon as the dates for those become clear, we will be in touch.

UPCOMING DATES - OPEN ACCESS TRAINING

COMPLIANCE

101

This is our one-stop shop for Compliance Officers and other compliance professionals. We cover the technicalities and practicalities of the regulatory regime, how it impacts your firm given the activities you undertake and what the responsibilities of compliance within that framework are....

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ANTI-FINANCIAL CRIME

This half-day workshop is for Money Laundering Reporting Officers (MLROs) and compliance professionals. We explore all 5 areas of financial crime that the FCA asks firms to focus on, covering the practicalities of preventing financial crime from occurring...

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FINANCIAL PROMOTIONS

This half-day workshop, hosted by Adempi, is designed for anyone involved in the preparation or sign off of financial promotions, from long-form brochures to snappy social media posts. We typically have a mix of marketing, BD and compliance professionals...

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CLIENT

MONEY

Our client money workshop is aimed and financial teams and CASS oversight officer involved with handling and reconciling client money.  We review the client money rules, the robustness of controls, practicalities of reporting and returns and consider the regulators' expectations...

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OTHER COURSES

We have a range of courses designed and available in addition to the currently scheduled open access sessions.  Feel free to ask us for any of the below workshops, and of course we're always happy to create new content:

 

  • Being regulated - training for newly authorised firms

  • PRIIPS & KIDs

  • Conducting Financial Crime Risk Assessments

  • Market Abuse training

  • Anti-fraud awareness for staff

  • Conduct Risk Management

  • Product governance 

  • Complaints Handling 

  • Wind-down planing

  • SM&CR - Conduct Rules for staff

  • SM&CR for Senior Managers

  • SM&CR for Certification Staff

  • SM&CR for HR professionals

  • MiFID II for investment firms

  • MiFID II for investment platforms

  • Compliance for Appointed Representatives

  • Peer-to-peer lending regulation

  • Adempi on LinkedIn
  • Adempi on Twitter

© 2019 by Adempi Associates LLP