FCA & Assertive Supervision - A Guide to the Latest Changes

Introduction

Following the Gloster Report the FCA has undergone a significant transformation programme to become an assertive regulator that quickly identifies and mitigates risk.

Firms and their senior management can expect more intrusive regulation than ever before as the FCA seeks to demonstrate that not only does it have teeth, but it is now prepared to use them.

This webinar will look at these changes and what they mean for those in regulated financial services.

What You Will Learn

This webinar will cover the following:

• The FCA’s remit and historic approach to supervision
• The changes precipitated by the collapse of London Capital & Finance Plc and the subsequent Gloster Report
• The move to assertive supervision and key supervisory intervention powers
• The legal framework for the use of these powers and wider legal considerations
• Procedural issues
• Case studies

This webinar was recorded on 1st December 2022