COVID-19 - Flexibility & Focus from the FCA
The FCA have offered important new concessions to financial services firms to help them through the pandemic, while emphasising their focus on consumer protection and market integrity.
This new webinar will explore the FCA’s expectations of firms during the pandemic, and how firms can take advantage of its new flexible approach.
What You Will Learn
This webinar will cover the following:
- Can firms delay:
- The annual certification process?
- Training staff on the Conduct Rules?
- Continuing Professional Development?
- What flexibility has the FCA offered to firms?
- What flexibility can be applied to AML processes?
- How should financial crime systems & controls be applied?
- What time limits apply to professional qualification exams?
- When is working from home appropriate?
- What roles have the FCA specified as appropriate for WFH?
- When must the office be open to handle complaints?
- What problems have the FCA highlighted about WFH?
- What does ‘treating customers fairly’ look like in the crisis?
- What are the FCA’s TCF requirements?
- What’s the position on vulnerable customers?
- Are retail customers more at risk now?
- What questions have the FCA asked firms in their Covid-19 survey?
- How have firms reacted to the survey?
- What issues must firms report to the FCA?
- How responsive have firms found the FCA during the pandemic?
This webinar was recorded on 1st July 2020