I have known and worked with Neil for many years, initially as a colleague, and then as an employer of his consultancy skills. For HBOS, over the past few years, his involvement as a freelance consultant in the development of question banks and materials has been invaluable. Neil contributes enormously to any team with whom he is involved. He is a highly professional, enthusiastic and passionate individual who is committed and driven to create results for the customer. He is people focused and customer orientated ensuring the on-time, bespoke delivery requirements that are needed in the FS Industry, either personally, or buy the management of a wide network of associates. You can trust Neil to deliver the cost effective first class results which you require.
Brian Corrigan, Training Consultant, Halifax
Approved Persons
Objectives
- To understand the FSA rules and guidance governing Approved Persons
- To understand what is a “controlled function”.
- To be able to establish Fitness and Propriety
- To be able to apply the Principles and Code of Practice
- To be able to delegate responsibilities effectively
Who should attend
Individuals fulfilling significant management functions and other senior managers within your organisation who have senior responsibilities.
Summary of content
- A review of the FSA requirements
- Standards of behaviour
- Effective delegation
- Legal liabilities
- Essential controls which need to be in place
- SYSC frameworks
- Risk
Duration
1 day
