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.
- 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
- 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.
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.
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 224570.
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.