This one day workshop is designed specifically to examine the COBS rules from an operational perspective
Key areas of COBS for Operations
Application
Obligation
Client categorisation
Communications with clients
Information about the firm, its services and remuneration
Client agreements
Dealing and Managing
Providing product information to clients
Reporting information to clients
Compliance Risk Assessment – Creating a Regulatory Footprint
Mapping COB operational requirements
Compliance monitoring
Reporting and tracking issues identified
Identifying and recording COBS breaches
Management Information
Benefit from a Workshop Environment and the Practical Application of Key Issues:
Practical steps to ensure operational COBS compliance
Learn how new regulatory developments will impact COBS
Examine the impact & status of regulatory initiatives such as Conduct Risk
Understand FCA’s compliance monitoring expectations in relation to operational COBS
Test your application of the rules through case study examples and exercise
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