10 Compliance Pitfalls for FCA-Regulated Firms & How to Avoid Them

Introduction

Recent supervisory feedback, multi-firm reviews and enforcement actions highlight that even experienced compliance teams in FCA-regulated firms can struggle with embedded conduct issues, governance gaps and evolving regulatory expectations.

This practical new virtual classroom seminar will explore ten common compliance pitfalls and how to avoid them.

You will learn where firms routinely fall short, how to identify weaknesses in your own organi-sation and what steps you can take to address them before they lead to regulatory intervention.

Through clear guidance and practical remediation strategies, the session will help you review existing frameworks, strengthen internal controls and build evidence of compliance. You will leave better equipped to focus oversight on the areas of greatest risk and tackle common compliance challenges with confidence.

What You Will Learn

This live and interactive course will cover the following:

• The top 10 compliance failures frequently cited in FCA supervisory reviews and enforcement outcomes
• How to implement robust, practical controls to evidence ‘reasonable steps’ and meet Consumer Duty expectations
• Refining compliance monitoring plans and management information to deliver risk-focused oversight
• How to execute proactive remediation strategies to address firm vulnerabilities before regulatory intervention occurs

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.