Ensuring Robust Due Diligence - What The FCA Expects

Introduction

This live broadcast session will explore due diligence within the financial services sector for FCA authorised firms.

The session assumes some prior experience of the due diligence process and is aimed at those who wish to bolster their knowledge in line with the FCA’s expectations.

It will include practical examples of what good due diligence ‘looks like’ and the interactive session will allow you to align the due diligence process to your own business environment.

What You Will Learn

This live and interactive broadcast will cover the following:

• The definition of due diligence within the financial services environment
• Why robust due diligence is crucial
• How to undertake background checks on third parties
• Appointed Representatives and due diligence
• How to incorporate due diligence checks within your compliance framework
• The difference between good and poor practice
• The risks of poor practice
• What to do if it all goes wrong

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.