Compliance Monitoring and Testing
It considers the FCAโs requirements and expectations around the monitoring and testing undertaken by UK authorised firms.
- 2 CPD Units
- 2 Hours
- All Levels
This course explores what to consider when building a compliant Compliance Monitoring programme and how to effectively deliver reports. It considers the FCAโs requirements and expectations around the monitoring and testing undertaken by UK authorised firms.
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 be introduced to the characteristics of best execution and the respective regulatory environment. 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 are based on interactive 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.
Registration and Access
To register to this course, click on the โAdd to Cartโ 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 atย info@eimf.eu.
Access to the course is valid for 180 days.
This programme has been developed by theย 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 forย 2ย CPD Unitsย that approve educationย in financial regulation, such as the FCA.
Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
What People Say About EIMF
EIMF offered tools, knowledge, and practical experienceโฆno books can accomplish this!
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I now see that my behaviour was affecting the actions and dedication of my teamโฆthank you for making me see things that I never thought about before!! Course was amazing!
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High-quality content and very enjoyable learning experience. At EIMF courses are delivered in a very informative and engaging way and are beneficial for anyone who works within the financial services, accounting and compliance sectors.
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