Compliance Standards - Creating Systems & Controls for FCA Authorised Firms

Introduction

One of the more difficult areas of compliance is to implement procedures which ensure all rules and regulations are followed by the firm.

The FCA have reminded authorised firms of the importance of embedding the rules properly, ensuring they are being adhered to by both senior managers and junior staff.

To mitigate the risk of regulatory sanction and meet their own regulatory obligations, firms must ensure their firms are maintaining appropriate evidence of adherence to both the letter of and spirit of compliance standards, including the consumer duty.

This webinar will explore the systems and controls which can be created to comply and is aimed at financial services staff with responsibility for implementing such systems and controls.

What You Will Learn

This webinar will cover the following:

• Overarching FCA requirements
• Systems of governance in regulated firms
• The role of risk and compliance
• Impact of the Consumer Duty
• Impact of the Senior Manager’s and Certification Regime

This webinar was recorded on 2nd March 2023