A 45-minute online training course designed to provide staff training for investment firms on FCA Handbook COBS 11. The course described the definition of ‘Dealing’ and ‘Managing’ defined by the FCA and explained the main rules relating to these activities; including Best Execution; Client Order Handling; Client Limit Orders and Personal Account Dealing.
Our award winning services help firms that are regulated by the Financial Conduct Authority or the Prudential Regulation Authority to become authorised, manage their ongoing compliance and regulatory obligations and empower their staff with focused compliance training.
What makes us stand out is the skill and expertise of our team, which includes ex-regulators, industry practitioners and subject matter experts. Through the breadth and depth of their collective expertise and experience, we offer an outstanding service interpreting the regulations and providing practical, usable advice and solutions that work for your business and the regulator.