FCA Compliance - Understanding the Rules & Regulations

Introduction

Compliance in financial services has changed beyond recognition and is now the most important factor in creating a successful financial services firm. The Financial Conduct Authority (FCA) is a powerful and pro-active regulator with wide ranging rules contained within the FCA Handbook as well as a range of supporting documents.

All practitioners working in an FCA regulated environment needs to understand the conditions which, if broken, may result in enforcement action as well as the steps the regulator may take during such action. The key conditions include the threshold conditions, notification requirements under SUP, PRIN and SM&CR.

This newly updated webinar explores all the rules and regulations you or your team need to know to remain compliant with FCA expectations, covering the key rules and changes due.

What You Will Learn

This webinar will cover the following:

• FCA statutory aims and powers under Financial Services and Markets Act 2000
• The threshold conditions
• Meeting SM&CR requirements
• Being regulated - SUP, DEPP and dealing with enforcement action
• FCA PRIN
• FCA DISP
• Consumer Duty
• Operational Resilience

This webinar was recorded on 23rd March 2022