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Financial Sector Regulatory Compliance

Course Information:

Online £1,750.00 12 hrsFlexible
In-House Agreed with client FlexiblePOA
London 5 days 28-Mar£3,500.00
London 5 days 31-Oct£3,500.00


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    LCT 2022 Brochure
    LCT 2022 Brochure

    Who should attend?

      Effective insurance portfolio management is designed for delegates from within the insurance sector with direct responsibility for overall commercial and risk management, including underwriting staff, risk managers, and compliance managers.



      • Construct insurance portfolio applying knowledge of the dynamics of insurance portfolios
      • Manage concentration risk
      • Measure and monitor liquidity position
      • Effectively rebalance and manage the insured portfolio


    Introduction to Regulatory Compliance and Compliance Risks

      • Short quiz exploring participant’s existing knowledge
      • Compliance as a concept – a vision of the essential part compliance plays in the financial services industry
      • Characteristics of good and bad regulatory compliance regimes

    International and Supranational Standard-Setting Bodies

      • FATF (Financial Action Task Force)
      • BIS (Bank for International Settlements)
      • Financial Stability Board
      • British Standard 8453 – Compliance Framework for Regulated Financial Service Firms
      • Central Banks / Regulators

    Complying with External Regulations

      • Typical regulatory compliance requirements of a financial institution
      • Compliance risks; what are they and how can you mitigate them
      • Structure and activities of the compliance function to achieve regulatory requirements

    Internal Compliance

      • The Chief Compliance officer – responsibilities, and attributes
      • Mapping your compliance universe
      • Developing a compliance culture in your organisation

    Global Internal and External Regulatory Compliance

      • Compliance, Internal Audit and Risk Management Functions – compared, contrasted and cooperation explored
      • Operating entities
      • Working and communicating with the regulator
      • Reporting to the Board and Senior Management

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