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Finance, Investments & Funds

Guernsey Protection of Investors and Conduct of Business Training

Course details

CPD Points

3

Cost

£225

Length

Half day (09:00-12:00)

Course Overview

This course is designed to provide a brief overview of the Protection of Investors (Bailiwick of Guernsey) Law, 1987, as amended (POI Law) and a more detailed overview of The Licensees (conduct of business) Rules 2016, as amended (the COB Rules) and their application to key parties within the finance sector.

Course Content

  • Overview of the POI Law
  • Overview of the COB Rules
    • The Principles
    • Corporate Governance and Senior Management Responsibility
    • Compliance Arrangements
    • Employee Screening and Employee Training
    • Accounting Records and Financial Statements
    • Conduct of Business
    • Record Keeping
    • Categorising Clients
    • Complaints
    • Client Assets
    • Contract Notes
    • Conflicts of Interest

The training will also include a workshop element to discuss a number of practical case studies, determining risks and suitable actions.


Course Benefits

The POI Law and COB Rules are pivotal pieces of legislation in the Guernsey market. This course aims to provide an overview of the key areas covered by this important legislation and statutory instrument, through practical case studies and examples.

Following the course you will have an enhanced understanding of the POI Law and COB Rules.


Next Steps

If you would like to book a place on this course please click on the ‘Book Course’ button to the right of this page and login or register for a user account to complete your booking(s). Any queries please do not hesitate to contact us via [email protected] or call us on 01481 721555.

If no date is scheduled for this course at the present time please click on the ‘Register Interest’ button and login or register for a user account so that we can add you to our course interest register. This register allows us to contact our tutors and finalise dates for a course as soon as we have a few people who have expressed their interest, so the more delegates who register their interest, the sooner we can schedule a particular course.


Course Tutor

  • Will Morgan

    Will Morgan is an award-winning tutor, a qualified accountant and consultant working with clients in Guernsey, Jersey, Dublin and the UK. Will founded Offshore in 2007 along with partner John Richardson to provide accounting, training and consulting solutions to numerous regulated and commercial clients in a wide variety of industries.

    Will is an experienced trainer with exceptional practical knowledge of accounting standards. Will’s training has been adapted over the years based on the work he has undertaken in the Channel Islands, understanding the practical skills that professionals need, rather than theoretical concepts. His classes are highly interactive; sometimes amusing and always engaging.

Testimonials

  • Absolutely - scene setting and then knowledge on top. A vast amount of content in just three hours Approach: But will was excellent as ever and real world examples help so much.

    Lee S

Absolutely - scene setting and then knowledge on top. A vast amount of content in just three hours Approach: But will was excellent as ever and real world examples help so much.

Lee S

Upcoming Courses

Some courses we run are scheduled based on demand. Please ensure you register your interest to ensure we know which courses you would like to attend.