FCA Compliance - Are You Up to Speed?

Introduction

Compliance in financial services is continuously evolving with a range of regulatory initiatives appearing each year.

Past behaviours of firms continue to influence the regulators thinking and, in turn, regulatory standards.

This new full day course is designed to provide an update on recently implemented rules as well as those proposed by the FCA and UK Government so that you are fully up to speed and protected against action from the powerful and pro-active financial regulators.

The course is ideal for experienced compliance managers and those new to financial services compliance as it explores the main rules and regulations you and your team need to know to meet the expectations of the FCA.

What You Will Learn

This course will cover the following:

• Introduction to the FCA and FSMA
• SYSC
• DISP
• SM&CR
• FCA Business Plan - the regulators priorities over this year
• The Consumer Duty