Culture and Conduct Programme
The Cummings Pepperdine Culture & Control Programme is an innovative, independent service which performs due diligence on the governance systems of asset managers to ensure compliance with the FCA’s requirements.
- A documented review of governance systems mapped against FCA requirements
- A step-by-step programme to remedial implementation
- A quarterly review programme
- A report to included in due diligence procedures
- On-going support
- On-going training via our specialist learning
- We provide managers with on-going support to successfully complete due diligence requests and train staff for FCA and allocator interviews.
The Cummings Pepperdine Training Programme
The Cummings Pepperdine Training Programme has been designed specifically for the asset management industry. Uniquely, our modules have been devised by a combination of a compliance consultants, lawyers, chartered accountants, tax advisors and regulatory consultants. Training is tailored to the exact requirements of each firm and person, to meet both commercial and regulatory needs and can be delivered in person or accessed entirely online. Each module consists of a training section followed by a set of questions to test the knowledge which the trainee has gained. Once the test has been passed, a certificate is automatically generated and sent to the firm’s compliance team.
- A training programme structured for the particular needs of each trainee
- 24 hour online access
- Regular updates on industry developments
- Regular addition of more modules on compliance, law, regulation and finance
- An online certification process for ease of compliance monitoring