Blog

CATS Compliance Officer Workshop

Tuesday, April 30, 2024

Mel Holman


 

This is a two hour online session designed for those individuals who are holding the SMF16 position and would like a reminder of what their role and responsibilities entail. Equally anyone who is looking to take on this position in the next 6 – 12 months would benefit from the course as it would be good evidence for supporting competency in the role as part of the FCA application.

Learning Outcomes include:-

  • Outlining what the roles and responsibilities of the compliance officer are
  • How these fits in with the Senior Managers Regime
  • Understanding the importance of a compliance monitoring plan
  • Better understand how the FCA supervises firms and how to prepare for contact with FCA

Fee: £100 + vat.

CLICK HERE to book your space.