International Regulation

CTP Global provides international regulators and compliance personnel in the financial services sector with a complete, expert support service that will:

• Ensure the Compliance and Audit structure supports the business and reflects standards in your jurisdiction
• Ensure the Supervision and Enforcement structure supports the regulator and reflects standards in your jurisdiction
• Provide insight and analysis of the performance of the team
  
• Identify development needs for the team and individuals
  
• Provide first class training and coaching to address group and individual needs

Years of experience working with regulators and financial services firms provides our consultants with the ability to distinguish good practice from poor and the skills to work with groups and individuals to gain positive commitment to change.

We do more than train regulators and compliance personnel. Our business acumen combined with disciplined analysis provides a firm platform to move forward and achieve the best possible performance for Stakeholders.

Our International Regulatory and Compliance Development Services

• International Standards – applying high regulatory standards, consistent with international best practice
• Regulatory Skills – providing the best professional capabilities to supervise the organisation’s regulated firms and individuals
• Compliance Skills – providing the best professional capabilities to support the organisation’s regulated individuals 
  

Technical Skills

We provide a range of courses specifically chosen to promote more effective international and local regulatory standards in every organisation. All courses are tailored to the relevant regulatory jurisdiction. The most popular topics currently include:

Competent Supervision
The role of the supervisor is key to achieving both competent supervision and business performance.

This essential Competent Supervision CPD 2 day event is designed to refresh and enhance the essential skills for supervisors and deliver results in terms of the improved performance of their teams. It can be tailored to deliver a refresher on your own organisation’s supervisory standards and, in an additional day. a formal assessment of competence can be undertaken by our skilled and qualified trainers.
In your day-to-day role as a Supervisor, you will need to exercise a number of skills to ensure that your team understands what is required of them to deliver a high quality, regulatory service. By attending this course you will refresh your knowledge and skills. Courses are tailored to each regulator’s requirements. Full standard course details here: Competent Supervision

Outcomes Based Regulation
This is a practical workshop that helps regulatory professionals to shift their perspective to assess the outcomes being achieved to meet regulatory standards rather than systems and controls. A thoughtful leadership event that explains the most recent thinking of international regulators as they seek to re-position their supervisory approach to prevent future catastrophes.
What does it really mean? How can it work in practice?
Arrange a workshop for your senior teams: Achieving Outcomes Based Regulation

Operational Risk Management
Specifically designed to show how operational risk management can be a useful tool for achieving targets and goals, this course enables you to make sense of the risk-based approach and to translate the theory of risk management into workable techniques for improving business performance.
Operational risk has been described by the Basel Committee as “the risk of losses resulting from inadequate or failed internal processes, people and systems, or from external events.”
See full course details here: Operational Risk Management in Financial Services

Treating Customers Fairly
A new approach to regulation that seeks to deliver fair treatment to consumers, rather than introducing more detailed rules. A number of jurisdictions are taking up this concept which is as much about how people perform as it is about measurement. This is where we can help by working with your people at all levels to articulate how they lead and deliver the concept of fair treatment.

Our approach includes:
• Training staff in what TCF means to them
• Evidencing and managing culture
• Working with senior management
• Preparing for a regulatory visit

For full details of course content: Treating Customers Fairly We tailor events for an organisation that reflect their own regulatory framework and challenges.

Solvency 2 for Senior Management
The implementation of Solvency 2 in October 2012 will clearly bring fundamental changes to the way insurance firms manage capital and risk across Europe and beyond. In the UK, for example, the FSA is already asking firms for details of their approach to managing the transition to the new regime.
What is still not clear, however, for many insurance professionals is just what the introduction of Solvency II will mean in practical business terms. This course will provide insights and help businesses ensure they are fully prepared. For full course details: Solvency 2 for General Insurers – a Business Guide

Professional Skills

The roles of compliance and audit are not easy! Individuals require highly developed skills to persuade, influence and gain support from business areas. We provide a range of courses specifically designed for individuals in a compliance, risk, audit or control function working in a financial services organisation. These include:

The Compliance Skills Academy
We have brought together the essential elements to deliver behaviours that underpin effective performance:
• Strong and responsive interpersonal skills
• Management and Leadership abilities that model the right behaviours
• Communications at all levels, particularly complex information and data
• The ability to understand strategy and culture

Further details on: The Compliance Skills Academy

Investigative Interview Skills
Talking with people or more formally “interviewing” them has long been recognised as one of the core functions of a compliance officer’s work. Every fact-finding assignment and investigation relies heavily on investigative interviewing. As a main source of information it is claimed that up to 85% of all information is acquired in this way. It follows that the time and effort spent on improving the interview by planning ahead and using tried and tested techniques to reach valid, supported outcomes will be worthwhile.

Further details on: Investigative Interview Skills 

Business Report Writing
Those of us working in control functions face particular difficulties in getting our message across. What we have to communicate is often complex, technical and sometimes unwelcome. Our audience can be indifferent, resistant and fearful of being criticized or exposed. Meeting these challenges calls for a considerable level of skill, and some psychology, to be employed in the written word.

Further details on: Business Report Writing

Speed Reading
Many financial services professionals are required to read and understand a huge volume of publications, reports and other written matter simply to keep pace with developments or achieve further professional qualifications. The demands on time and mental resources can be simply overwhelming. Learn how to be even more effective from a true master.

Further details on: Speed Reading 

Download our brochures here:

Our courses, briefings and workshops can be held as in-house programmes tailored to your needs, we also provide combined courses where several firms in a jurisdiction share an in-house programme. Some courses are also held as open courses in the UK. Talk to us about your specific international regulatory and training needs now. Visit our specialist financial services training website to see the wider range of technical and professional skills courses available. www.ctp.uk.com

To find out more and to discuss (in confidence) how to tackle the challenges your organisation faces contact:
Jayne Owen, our CEO or Judy Delaforce, International Development Services on +44 (0) 20 3170 5779 or e mail info@ctpglobal.com