FINRA Supervision / Oversight Short Course
Duration: 2 days
Dates: 15 - 16 September 2008, FINRA, London
This course addresses the supervision of firms by the FSA, the approach and tools used, the implications for regulatory risk management and the supervision of employees and business operations.Case studies and discussion of FSA Enforcement Actions and Guidance steer delegates through the FSA requirements and elaborate on practical implementation of FSA's rules, including topical issues. Case studies are used to demonstrate the role and impact of supervisory systems of regulatory issues.
This course is part of the Capital Markets, Regulation and Compliance Diploma and Short Courses offered by the ICMA Centre and FINRA. You can study this course on a stand-alone basis or as part of the full Diploma.
Participant Profile
- Compliance staff with at least one year's experience; staff with more than five years' experience may benefit from individual short courses rather than the full diploma
- Operational risk and internal audit staff, who need greater insight into compliance and regulation
- Lawyers (0-2 PQE) who want a "real world" view of implemented compliance (short courses recommended)
- Regulators from other countries who want to better understand the challenges of implementation.
Content
- FSA's approach to supervision of firms and risk assessment
- FSA tools for supervising firms
- Implementing FSA supervisory requirements: the investment banking approach
- Role of senior management in business supervision
- Supervision and surveillance techniques
- Supervision: a US comparison