FCA Compliance - The Rules & Regulation Explored

Introduction

Compliance in financial services has changed beyond recognition and is now the most important factor in creating a successful financial services firm.

The Financial Conduct Authority (‘FCA’) is a powerful and pro-active regulator with wide ranging rules contained within the FCA Handbook as well as a range of supporting documents.

A practitioner working in an FCA regulated environment needs to understand the conditions which, if broken, may result in enforcement action as well as the steps the regulator may take during such action.

The key regulations include the threshold conditions, notification requirements under SUP, PRIN, SYSC, SM&CR and of course, the Consumer Duty.

This webinar explores all the rules and regulations you or your team need to know to remain compliant with FCA expectations.

What You Will Learn

This webinar will cover the following:

• FCA statutory aims and powers under Financial Services and Markets Act 2000
• Consumer Duty
• The threshold conditions
• Meeting SM&CR requirements
• Being regulated [SUP, DEPP and dealing with enforcement action]
• SYSC
• FCA DISP
• FCA PRIN

This webinar was recorded on 3rd October 2024

You can gain access to this webinar and 1,700+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.