Objectives

The course has been designed to deliver three objectives:

  • The prepare trainees to pass the course examination at the first attempt;
  • To deliver the written standard syllabus in such a way so as to maximise the commercial awareness training benefit.
  • To allow the trainees of the Law South member firms to meet and network with trainees from other member firms.

Content

Day 1

·       Outline of the regulatory framework and the investment industry

·       The role of the FSA and their key rules

·       ‘Investments’ covered by the Financial Services and Markets Act

·       Regulated business ‘activities’

·       Activities subject to statutory exemption or the regime applicable to Designated Professional Bodies

Day 2

·       The compliance rules relating to solicitors – The Law Society’s Scope and Conduct of Business rules

·       Other relevant rules – Money Laundering Regulation and Solicitor’s Practice Rules

·       Portfolio planning and an introduction to investments

·       Key features of common investments – pensions, insurance products, shares, ISAs and unit trusts

Day 3

·       Non examinable understanding an interpreting accounts training

·       Structured exam preparation and final advice on exam technique and how marking guidelines work delivered by DMP Training

Who should attend: All trainees

How to book

Please contact your Learning & Development manager if you are interested in this course.