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Seminar 6 IntroductionInformation
Accreditation Information

Introduction

Compliance in financial services is continuously evolving with a range of regulatory initiatives appearing each year. The financial crash is still having a profound impact on compliance, with the FCA, UK Government and European Union still producing measures to ensure the soundness of the market and the fair treatment of customers. The compliance professional must ensure they are fully versed with recent and upcoming changes.

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

This one day seminar 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
  • PRIN / TCF
  • SYSC
  • DISP
  • SM&CR
  • FCA Business Plan - the regulators priorities over this year
  • FCA’s cross sector priorities
  • FCA’s sector priorities in the following:
    • Investment management (MiFID update)
    • Retail lending / banking
    • General insurance
    • Consumer credit

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Seminar | 08.07.2020

Glasgow | 9:30am - 5:15pm


FCA Compliance - Get Up to Speed

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Jul
8
2020
Glasgow
9:30am - 5:15pm
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Seminar | 15.07.2020

London | 9:30am - 5:15pm


FCA Compliance - Get Up to Speed

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Jul
15
2020
London
9:30am - 5:15pm
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Seminar | 16.09.2020

Birmingham | 9:30am - 5:15pm


FCA Compliance - Get Up to Speed

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Sep
16
2020
Birmingham
9:30am - 5:15pm
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Seminar | 07.10.2020

Cambridge | 9:30am - 5:15pm


FCA Compliance - Get Up to Speed

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Oct
7
2020
Cambridge
9:30am - 5:15pm
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Seminar | 27.10.2020

Bristol | 9:30am - 5:15pm


FCA Compliance - Get Up to Speed

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Oct
27
2020
Bristol
9:30am - 5:15pm
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Seminar | 19.11.2020

Leeds | 9:30am - 5:15pm


FCA Compliance - Get Up to Speed

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Nov
19
2020
Leeds
9:30am - 5:15pm
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Prices (ex VAT)
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Plan Information
£243
Season
Ticket Information
£270
Standard
£540
Group bookings
Discounts are available for multiple places and if you have 5 or more people interested in this course and would like to discuss holding it in your area or on an in-house basis then please email us at information@mblseminars.com
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