7898 Compliance courses

Wellbeing and Safety for Homeworkers Finding out about wellbeing and security for homeworkers is fundamental for managers of current or expected homeworkers, just as anyone who works from a home climate. Telecommuting is turning into an undeniably well known choice, yet wellbeing and security are regularly neglected, which could bring about functional and legitimate issues for the business and worker. This course covers all you require to think about wellbeing and security for homeworkers, including a point by point agenda of the multitude of components to consider and the severe necessities under UK law. We examine the significance of hazard appraisal and give a bit by bit manual for building up a danger evaluation technique for homeworkers in any industry or organization type. In particular, you will figure out how to make a total homeworker wellbeing and security strategy, which guarantees that homeworkers are protected, sound and that you are agreeable with UK law. This is a definitive asset to guarantee the wellbeing and security of homeworkers. You Will Learn The fundamental necessities to guarantee the wellbeing and security of homeworkers The lawful requirements for guaranteeing homeworker wellbeing and security When and how to play out a danger appraisal A bit by bit manual for making a solid and security strategy for homeworkers Advantages of Taking this Course You will guarantee the prosperity and profitability of your homeworker representatives You will maintain a strategic distance from legitimate outcomes identified with the injury of homeworkers You will improve your organization's standing and draw in top of the line homeworkers Homeworkers will comprehend their privileges and obligations

Prologue to RIDDOR Certification Detailing mishaps, wounds and word related sickness in the working environment permits associations and specialists to figure out how to recognize and deal with hazards. Reports can advise future strategy at both a nearby and public level. In the UK, the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (RIDDOR) declares how and when individuals should report indicated "reportable cases" to the Health and Safety Executive (HSE) and nearby government specialists. This course gives an outline of RIDDOR from both a hypothetical and down to earth point of view. You Will Learn What RIDDOR is, its degree and the overall standards that decide if an occurrence is reportable. The sorts of wounds you should report under RIDDOR including consumes, removals and "more than seven-day" wounds The word related sicknesses and threats you should report, including carpal passage condition, RSI and "close misses" Who should make a RIDDOR report, how to document a report and the time period in which you should present the report Advantages of Taking This Course On the off chance that you are a business, you will profit by obtaining a foundation information on RIDDOR on the grounds that it covers all organizations and work exercises On the off chance that you are liable for wellbeing and security related issue at work, realizing the central issues contained inside RIDDOR will give you the certainty to decide whether an occurrence is reportable On the off chance that you are keen on word related wellbeing, this course will give you a helpful understanding into how UK specialists research mishaps, wounds and close misses in the working environment This course will help you complete ideal, valuable reports if a reportable occurrence happens in your working environment

Solitary Working Awareness Full information on all parts of 'solitary working' is crucial for independently employed specialists just as the businesses and representatives in the applicable enterprises to keep a protected, beneficial and legitimate business. This course gives a far reaching knowledge into each part of 'solitary working', including the legitimate definitions, the potential risks implied and how you can stay with yourself, your organization and laborers safe. From talking about the various enterprises and occupations implied to featuring the risks, and clarifying the wellbeing and legitimate estimates you need to execute, this course covers each perspective that everybody engaged with 'solitary working' has to know. You Will Learn The past, present and full meaning of 'solitary working' The various ventures and occupations that include 'solitary working' Every one of the dangers and dangers implied in every industry and work Anticipation and security estimates required The lawful and administrative commitments for anyone engaged with 'solitary working' Advantages of Taking This Course You will actually want to decide dangers in your particular workplace You will actually want to recognize and kill any possible risks You will comprehend the lawful necessities encompassing 'solitary working' and apply them in your workplace You will comprehend the guidelines which administer 'solitary working' and give priceless counsel in your working environment You will actually want to play out a full 'solitary working' hazard appraisal

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.

Description This Complaints Handling course is suitable for any member of a team aiming to understand how to properly handle complaints in financial services sector. In particular, this course will prepare you to: Recognise complaints and the importance of dealing with them appropriately. Understand how your organisation may receive complaints. Know the procedure for handling complaints. Follow the rules and etiquette for handling complaints. Understand the role of the Financial Ombudsman Service (FOS).

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.

Course Overview This course seeks to explain the role the FCA plays in the financial services sector and its position within the overall UK economy. We look at the structure of the regulator and how it is designed to support the objectives allocated to it.

In July 2022, the Financial Conduct Authority, or FCA, published a policy statement, with final rules, on its Consumer Duty initiative. This comprises a new principle, cross-cutting rules, and four outcomes for retail consumers. The Consumer Duty will mean that consumers should receive communications they can understand products and services that meet their needs and offer fair value, and obtain the customer support they need, when they need it. Clarity on the FCA's expectations, and firms' focus on what their customers need, should lead to more flexibility for firms to compete and innovate in the interests of consumers. With firms assessing how they are meeting their customers' needs, the FCA will be able to quickly identify practices that do not deliver the right outcomes for consumers and take action before practices become entrenched as market norms. Regulated firms will have to comply with the Consumer Duty from 31 July 2023, with a delayed implementation of 31 July 2024 for products that are closed or not being sold to new investors.

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.

This course looks at the key rules and requirements to issue complaint financial promotions and maintain appropriate oversight and control of your financial promotion process. Learning objectives When you have completed all of the activities in this course, you should be able to: explain what a financial promotion is summarise the main regulatory requirements relating to financial promotions identify the elements of a compliant financial promotion recognise some of the danger points in an online financial promotion describe the record keeping requirements for financial promotions.