The FCA’s Supervisory Powers under MIFIDPRU - Will Your Firm Be in the Firing Line?

Introduction

MIFIDPRU, which imposes the capital and liquidity requirements for investment firms chiefly, has been in place for over two years.

With ongoing tweaks and clarifications from the FCA, is your firm investing the necessary time and resources to stay abreast and ensure ongoing compliance?

Are there any areas in your governance or reporting that could benefit from a refresh?

This new virtual classroom seminar is suitable for COOs, CFOs, CEOs, and those responsible for operations, compliance, and finance.

What You Will Learn

This live and interactive course will cover the following:

• Key topics in MIFIDPRU disclosures and regulatory reporting
• What do a good ‘ICARA’ and a good ‘wind down plan’ look like?
• Have you calculated all the thresholds and triggers relating to the ‘Overall Financial Adequacy Rule’ correctly?
• Potential consolidation pitfalls in group acquisitions or reorganisations
• If your firm was subject to an FCA enquiry, would you be able to demonstrate that you have incorporated the regime into your day-to-day operations? If not, how can you fix it?

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.