1
Type Speaker CPD Hours Level
Webinar
0.5 IntermediateInformation

Introduction

In June 2019 the FCA set out its expectation that investment firms should assess the risks to their business, the potential harms to consumers posed by their operations and the adequacy of the firm’s financial resources.

The consultation paper (CP19-20) closed on 13 September and the FCA will presume that firms are now acting upon the information and guidance provided in CP19-20.

This webinar will review the different rules that govern adequacy of financial resources for investment.

What You Will Learn

This webinar will cover the following:

  • MiFID Optional Exemption firms:
    • The financial resources rules IPRU INV 13.13 to 13.15
    • The professional indemnity insurance rules IPRU INV 13.1
  • IFPRU and BIPRU firms:
    • The overall financial adequacy rule
    • The internal capital adequacy assessment process (ICAAP) and the FCA’s supervisory review and evaluation process
  • Key points from CP19-20

This webinar was recorded on 17th December 2019

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Adequacy of Financial Resources - A Bite-Sized Guide to the FCA Rules for Investment Firms

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