1
Type Speaker CPD Hours Level
Webinar
1.25 IntroductionInformation
Accreditation Information
SRA Competency D

Introduction

It is one thing to understand the rules to which your organisation must adhere to but it is another to be able to form the processes and procedures which ensure that you do so. The financial crash in 2008 highlighted to the regulators that many firms did not have acceptable compliance procedures in place and the FCA has addressed this by including specific rules and guidance within its handbook that place obligations on firms to implement certain procedures.

This webinar will discuss the procedures which contribute to a successful compliance management framework, including all procedures required by the FCA. Recent requirements under the Senior Managers and Certification Regime are also covered.

What You Will Learn

This webinar will cover the following:

  • Compliance strategy
  • Change management
  • Risk management
  • Compliance monitoring
  • Senior Managers and Certification Regime
  • Training and feedback
  • Complaints handling
  • Customer journey and TCF

This pre-recorded webinar will be streamed at 12:30pm on Wednesday 15th July 2020 and will remain available to view by delegates who have registered by then for 90 days.

New: Enjoy unlimited 24/7 access to over 780 webinars with an MBL Annual Webinar Subscription. Email webinarsubscription@mblseminars.com for details.

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Webinar | 15.07.2020

Individual Licence | 1hr


Creating a Successful Management Framework - How to Meet the FCA’s Expectations

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Jul
15
2020
1hr

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Webinar | 15.07.2020

Unlimited Viewers | 1hr


Creating a Successful Management Framework - How to Meet the FCA’s Expectations

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New: Enjoy unlimited 24/7 access to over 780 webinars with an MBL Annual Webinar Subscription. Email webinarsubscription@mblseminars.com for details.

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