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3218 Accounting & Finance courses near Harrow delivered Online

Financial Regulation: The International Regulatory Environment

5.0(4)

By LGCA | London Governance and Compliance Academy

Description A key component to the development of financial markets is to agree standards of behaviour and provide mechanisms for dispute resolution. These standards, rules and codes of conduct may be established through self-regulation of the industry, or by means of a statutory approach where governments provide enabling legislation and establish statutory-based regulatory authorities. Integrity and ethical behaviour are key parts of any code of conduct and have, as a result of the financial crisis, experienced renewed focus from professional bodies, governments and regulators. As financial markets have become increasingly global in nature and interdependence has grown, the financial sector has moved from self-regulation to a statutory approach. This has facilitated international cooperation and the development of improved and common standards. The objectives and benefits of regulation is summarised as follows: • increase in confidence and trust in financial markets, systems and products • establish an environment to encourage economic development and wealth creation • reduce the risk of market and system failures including their economic consequences • enhance consumer protection, giving them the reassurance they need to save and invest, and • reduce financial crime by ensuring financial systems cannot easily be exploited. By attending this course participants will be able to understand the objectives and benefits of regulation and the various agencies that make up the current international and national regulatory environment. Training Duration This course may take up to 2 hours to complete. However, actual study time differs as each learner uses their own training pace. Participants This course is ideal for anyone wishing to know the essentials of financial regulation and the international regulatory environment, and the regulatory requirements for investment firms, insurance and banking institutions. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation (such as the FCA etc). Training Method The course is offered fully online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop and resume their training at any time. At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion once all quizzes have been passed successfully. Accreditation and CPD Recognition This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution. The syllabus is verified by external subject matter experts and may be accredited by financial regulators, such as FCA and general financial training accreditation bodies, such as CISI, for 2 CPD Units. Eligibility criteria and CPD Units are verified directly by your association or other bodies in which you hold membership. Registration and Access To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. If you wish to receive an invoice instead of paying online, please contact us at info@lgca.uk. Access to the course is valid for 365 days.

Financial Regulation: The International Regulatory Environment
Delivered Online On Demand
£60

Ethics, Integrity and Fairness in Financial Services

5.0(4)

By LGCA | London Governance and Compliance Academy

Description Given its role and importance to any functioning modern economy, 'trust' is an essential ingredient between providers of financial services, its clients and even wider society. Culture, conduct and ethics are words which have come to pepper the regulatory lexicon. The importance of these intangible concepts and 'getting it right' has been clearly communicated, and myriad speeches and initiatives in the financial services sector focus on these themes. This programme does not purport to dictate how firms should define their values or operate their businesses. However, lawmakers, regulators and society have defined certain minimum expectations and standards of behaviour from the perspective of customer and business outcomes. These are sometimes framed or described (whether explicitly or implicitly) as issues of trust, integrity or honesty; concepts which have a distinct ethical underpin. Firms and individuals operating in the sector must be conscious and mindful of these standards and expectations and consider both whether they are satisfying the letter and spirit of the rules and/or guidance and whether the values and principles which they have set for themselves are effective in directing and delivering the firm's desired outcomes. Training Duration This course may take up to 2 hours to be completed. However, actual study time differs as each learner uses their own training pace. Participants This course is ideal for anyone wishing to know more about Ethics, Integrity and Fairness in Financial Services, and the regulatory requirements for investment firms, insurance and banking institutions. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation (such as the FCA etc). It will be particularly suitable to: • Compliance professionals and consultants • Boards, NEDs and Senior Managers • Risk executives • Directors Training Method The course is offered fully online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop and resume their training at any time. At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion once all quizzes have been passed successfully. Accreditation and CPD Recognition This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 2 CPD Units that approve education in financial regulation, such as the FCA and other financial regulators. The course may be also approved for up to 2 CPD Units by institutions that approve general financial training, such as the CISI. Eligibility criteria and CPD Units are verified directly by your association or other bodies in which you hold membership. Registration and Access To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. If you wish to receive an invoice instead of paying online, please contact us at info@lgca.uk. Access to the course is valid for 365 days.

Ethics, Integrity and Fairness in Financial Services
Delivered Online On Demand
£60

Description Risk assessment enables financial institutions to focus on their AML/CFT efforts and adopt appropriate measures to allocate the necessary resources in an optimal way. Based on the assessments conducted, the financial institutions should have controls, policies, and procedures that allow them to effectively manage and mitigate the risks identified. Training Duration This course may take up to two (2) hours to complete. Keep in mind, however, that actual study time varies based on each learner's training pace. Who Should Enrol? This course is addressed to all individuals who practice AML such as compliance and/or AML managers in banks, investment firms, investment funds, ASPs, trust service corporate providers, and lawyers. Training Method The course is offered online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop, and resume their training at any time. At the end of the training, participants take a quiz to complete their learning and earn a Certificate of Completion. Accreditation and CPD Recognitiond The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for two (2) CPD units that approve education in financial regulation. The course may be also approved for CPD units by institutions that approve general financial training such as CISI and ACAMS. Eligibility criteria and CPD units are verified directly by your association, regulator, or other any other body for which you hold membership. Registration and Access To register for this course, click on the button above to pay online and receive instant access. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. Access to the course is valid for 180 days. If you wish to receive an invoice instead of paying online, please email us at info@lgca.uk. Also, please get in touch if you'd like to discuss special corporate group rates.

AML Risk Assessment
Delivered Online On Demand
£60

Approved Persons Regime

5.0(4)

By LGCA | London Governance and Compliance Academy

Description Approved Persons Regime awareness course for all members of firms NOT subject to the Senior Managers & Certification Regime (SM&CR) which came into effect on 7 March 2016, applying to banks, building societies, credit unions and investment firms that are subject to dual regulation by the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA). Please note that, if your firm is currently regulated solely by the FCA under the Approved Persons Regime, this will be replaced by SM&CR in 2019 (or December 2018 for insurers). Training Duration This course may take up to 1 hour to be completed. However, actual study time differs as each learner uses their own training pace. Training Method The course is offered fully online using a self-paced approach. The learning units consist of reading material. Learners may start, stop and resume their training at any time. At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion upon completion of all units. Accreditation and CPD Recognition This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 1 CPD Unit that approve education in financial regulation, such as the FCA. The course may be also approved for CPD Units by institutions which approve general financial training, such as the CISI. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership. Registration and Access To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. If you wish to receive an invoice instead of paying online, please contact us at info@lgca.uk. Access to the course is valid for 365 days.

Approved Persons Regime
Delivered Online On Demand
£60

Understanding Securities Financing Transaction Regulation - SFTR

5.0(4)

By LGCA | London Governance and Compliance Academy

Course Overview SFTR is a major regulatory reporting requirement for anyone transacting repo and other securities financing transactions in the EU, no matter how limited their activity. In order to meet the regulator's demand for complete, accurate and timely data, firms are devoting considerable resources to the speedy remediation of rejected or unreconciled reports. Description This self-paced online course will offer delegates a grasp of what is required by SFTR in the EU and UK but will also provide a practical insight by looking at specific reporting rules and key data fields. Training Objectives By the end of the course, delegates should be able to: • Identify what trading activities are covered by SFTR, who has to report and by when; • Outline the role of trade repositories and recognise the reports sent to and sent out by these entities; • Distinguish the types of record to be sent to trade repositories and know in what order they should be sent; • Select and describe the data fields required for generic SFT structures, whether collateralized at transaction or portfolio level; • Complete a basic calculation of the estimated re-use of collateral. They should also: • Be aware of some of the practical issues that have arisen in reporting; • Know where to look for further guidance. Training Outline • Background which has brought the SFTR • What is Shadow Banking and how is it related to SFTR • Purpose of SFTR and key requirements for reporting parties • What SFTR covers: repos, securities/commodities lending, margin lending • Who is subject to SFTR, including mandatory delegation and branches • The role of trade repositories: who they are; what they do (validation and recon-ciliation); what you send them and what they send back and to others • Types of report (Action Types) and sequencing • Reporting deadlines. • Data sets, matching fields, cardinality rules (mandatory, conditional or optional) and conditionality links between fields • Counterparty data • Loan data: type, UTI, level of reporting, legal data, term, rate • Collateral data: type; level of reporting; classifications • CCP-cleared SFTs and margins • Collateral re-use reports: actual and estimated • Practical examples provided by ESMA Training Duration This course may take up to 3 hours to be completed. However, actual study time differs as each learner uses their own training pace. Participants This course is suitable for any professional involved with SFTR. Delegates would benefit from a familiarity with repos, securities lending and margin lending but this is not essential. The course is offered fully online using a self-paced approach. The learning units are based on reading material. Learners may start, stop and resume their training at any time. Accreditation and CPD Recognition This programme has been developed by the European Institute of Management and Finance (EIMF), a globally-recognised training institution. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 3 CPD Units that require CPD training in financial regulation. The course may be also approved for CPD Units by institutions which approve general financial training, such as the CISI. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership. Registration and Access To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. Access to the course is valid for 365 days. If you wish to receive an invoice instead of paying online, please Contact us here. Talk to us for our special Corporate Group rates.

Understanding Securities Financing Transaction Regulation - SFTR
Delivered Online On Demand
£60

Fraud Detection and Prevention

5.0(4)

By LGCA | London Governance and Compliance Academy

Fraud is usually defined by domestic regulators as taking place within a 'given industry' and within the broader legal framework, in a 'given country'. Unethical behaviour is closely related and may be forbidden by industry or law firm associations, accounting organisations, or other private professional groups. In the UK, the Fraud Act 2006 and the Theft Act 1968 outline the primary fraud offenses. A similar outline of offenses exists in legislation such as the companies and tax regulations, and the landscape continues to evolve. The UK hosted an Anti-Corruption Summit in 2016 and enacted the Criminal Finances Act in 2017.

Fraud Detection and Prevention
Delivered Online On Demand
£60

Financial Crime Risk Management

5.0(4)

By LGCA | London Governance and Compliance Academy

Description Of the many vulnerabilities and threats to the financial services sector, financial crime risk has emerged as a pervasive, yet widely misunderstood category of risk. As consumers, governments, and the financial industry have gained familiarity with various forms of financial crime, financial services organizations have seen that the underlying risk of financial crimes not only includes the direct action taken by criminals, but also includes the impact of deterrence, detection, and resolution on the organization and its customers. Financial services organizations have the difficult task of effectively identifying the greatest risks to themselves and to their customers, protecting both parties against unnecessary risks and satisfying regulatory requirements for greater transparency, awareness, and consolidation of information across the organization. This interactive and engaging programme aims to help participants understand the financial crime regulatory framework; and develop a comprehension on the management of financial crime risks. Training Duration This course may take up to 2 hours to be completed. However, actual study time differs as each learner uses their own training pace. Participants This course is ideal for anyone wishing to know more about Financial Crime Risk Management, and the regulatory requirements for investment firms, insurance and banking institutions. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation (such as the FCA etc). It will be particularly suitable to: • Compliance professionals • Consultants • Corporate executives (including CEOs and CFOs) • Senior managers • Risk executives • Directors • MLROs Training Method The course is offered fully online using a self-paced approach. The learning units consist of reading material. Learners may start, stop and resume their training at any time. At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion upon completion of all units. Accreditation and CPD Recognition This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 2 CPD Units that approve education in financial regulation, such as the FCA and other financial regulators. The course may be also approved for up to 2 CPD Units by institutions that approve general financial training, such as the CISI. Eligibility criteria and CPD Units are verified directly by your association or other bodies in which you hold membership. Registration and Access To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. If you wish to receive an invoice instead of paying online, please contact us at info@lgca.uk. Access to the course is valid for 365 days.

Financial Crime Risk Management
Delivered Online On Demand
£60

Ethics and compliance training is helpful for encouraging appropriate behavior, setting expectations, demonstrating the organization's commitment, and informing employees of laws or regulatory principles that may not be common knowledge. Description This course will help you to increase your personal ethics and explore your obligations to act with integrity in all aspects of your work and professional relationships. You will also appreciate an Ethical Code of Standards and examine how you can prevent bribery and corruption based on a financial regulatory context. Integrity and scruples not only keep us out of court and out of prison, but they are good for business. One study found that companies making 'an explicit commitment to doing business ethically' have produced profit/turnover ratios at 18% higher than those without a similar commitment. Conversely, a bad reputation can ruin a business - ethics and compliance training is how an organization can avoid that. Training Duration This course may take up to 2.5 hours to be completed. However, actual study time differs as each learner uses their own training pace. Participants This course is ideal for anyone wishing to consider ethics from a financial regulatory perspective. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation. Training Method The course is offered fully online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop and resume their training at any time. At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion once all quizzes have been passed successfully. Accreditation and CPD Recognition This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 2 CPD Units that approve education in financial regulation, such as the FCA and other financial regulators. The course may be also approved for up to 2 CPD Units by institutions that approve general financial training, such as the CISI. Eligibility criteria and CPD Units are verified directly by your association or other bodies in which you hold membership. Registration and Access To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. If you wish to receive an invoice instead of paying online, please contact us at info@lgca.uk. Access to the course is valid for 365 days.

Ethics and Compliance
Delivered Online On Demand
£60

Course Overview The regulatory position Key Concepts Impact on Firms Governance and Strategy Building an effective and compliant operational resilience program Holistic management considerations Learning Outcome To understand the regulatory drivers and priorities; to consider the factors you should promote to build and embed an inclusive operational resilience framework; to recognise common risks and disruptors tom operational stability and to consider appropriate governance models.

Operational Resilience
Delivered Online On Demand
£60

Introduction to Know Your Client (KYC) and Customer Due Diligence (CDD)

5.0(4)

By LGCA | London Governance and Compliance Academy

Description KYC/CDD is a critical element for effectively managing the risks posed by potential clients, thus protecting the organization against criminals, terrorists, and Politically Exposed Persons (PEPs) who might present a higher risk, and possible dubious actions by existing customers that need to be regularly reassessed. This course provides an introduction to KYC and CDD procedures, both key tools in assessing customer risk and a legal requirement to comply with Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT) laws. Training Duration This course may take up to two (2) hours to complete. Keep in mind, however, that actual study time varies based on each learner's training pace. Who Should Enrol? This course is addressed to all individuals who practice AML such as compliance and/or AML managers in banks, investment firms, investment funds, ASPs, trust service corporate providers, and lawyers. Training Method The course is offered online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop, and resume their training at any time. At the end of the training, participants take a quiz to complete their learning and earn a Certificate of Completion. Accreditation and CPD Recognition The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for two (2) CPD units that approve education in financial regulation. The course may be also approved for CPD units by institutions that approve general financial training such as CISI and ACAMS. Eligibility criteria and CPD units are verified directly by your association, regulator, or other any other body for which you hold membership. Registration and Access To register for this course, click on the button above to pay online and receive instant access. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. Access to the course is valid for 180 days. If you wish to receive an invoice instead of paying online, please email us at info@lgca.uk. Also, please get in touch if you'd like to discuss special corporate group rates.

Introduction to Know Your Client (KYC) and Customer Due Diligence (CDD)
Delivered Online On Demand
£60