Embedding Compliance - Systems & Controls for FCA-Regulated Firms

Introduction

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

The FCA has 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 that 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 pre-recorded webinar will be available to view from Thursday 20th November 2025

Alternatively, you can gain access to this webinar and 1,900+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.