Compliance in Fixed Income
The need for experienced and informed compliance officers has never been greater. Compliance officers in any market need to be able to understand the products and markets and to apply the regulator’s rules and principles accordingly.

Attending the course will help you:
  • Increase your knowledge of key fixed income products
  • Improve your understanding of the rules attached to those products
  • Increase your skills in dealing with those rules in practice
Leading to:
  • Closer co-operation between the business and compliance
  • Mitigation of the firm’s compliance risk

Who should attend?

This one-day course is designed for compliance officers to learn the fundamentals of the fixed income market and the key rules associated with that market.

This course is aimed at:
  • People thinking of moving into compliance
  • New compliance officers
  • Compliance officers with up to five years’ experience
  • Compliance officers who might move into fixed income in the future and who need to refresh their knowledge.

Details of next seminar

29 November 2019

Course Trainer

Course Outline
  • Fixed Income
  • A short history of the bond market
  • Different types of fixed income securities
  • How are bonds priced?
  • Where and how are they traded?
  • Key Regulations
  • Market abuse and fixed income
  • How to handle a STOR
  • Transaction reporting
  • Best execution
  • Appropriateness and suitability
  • Fair and Effective Markets Review and Conduct Risk

Details of next course


ICE Education
5th Floor Milton Gate
60 Chiswell Street
London EC1Y 4SA
United Kingdom

Based at ICE Education London offices: IntercontinentalExchange® (NYSE: ICE), is a leading operator of regulated global futures exchanges, clearing houses and over-the-counter (OTC) markets.

29 November 2019

RegisterAdd to calendar

For security reasons, delegates who have not registered in advance will not be admitted to this course.  Delegates will be required to provide photo identification on arrival, to ensure entry.


£950 for members and £1,200 for non-members

Course materials will be provided to candidates in electronic format prior to the start of programme. Please ensure that you have access to this document during the course by either printing off a copy or by downloading it on your laptop, iPad or Tablet.

Should you require a hard copy of the course materials, there is a charge for printing off and sending the course materials to the training venue. Please contact a minimum of two weeks before the course start date for further details on this.

Payment can be made by secure online credit card or by invoice.

Terms and conditions

Please click here to view our terms and conditions before registering.


Should you have any queries, please contact

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