Guernsey Protection of Investors and Conduct of Business Training

Course Summary

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.

Topics

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 delegate workshop of a number of practical case studies, determining risks and determining 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.

Enhanced understanding of the POI Law and COB Rules.

Tutor Profile

Vicky Le Poidevin is a fellow of the ICAEW with over 18 years’ experience in the finance sector. She trained with a big four firm and spent time in both the Fund and Trust sector before joining Offshore in September 2016. Vicky’s previous training experience includes delivering courses for both qualified and unqualified staff at a big four firm, evening classes at a professional training agency and to industry professionals in her role at Offshore.

Vicky has enjoys adapting her training style to suit the skills of the participants and including practical and real-life examples in her training to ensure it is relevant and entertaining.

Course at a Glance

  • Next Start Date: 4 March 2020
  • CPD Points: 3
  • Course Cost: £195.00
  • Course Length: Half day (09:30-12:30)
  • Location: GTA University Centre, Guernsey
  • Tutor: Victoria Le Poidevin

There are no dates currently available for this course, If you would like to register your interest please complete the form below:

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