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Evidencing ‘Reasonable Steps’ - A Guide for FCA Regulated Firms

Evidencing ‘Reasonable Steps’ - A Guide for FCA Regulated Firms

Session

23 Apr 2024

9:30 AM ‐ 4:30 PM

With a SmartPlan £486

With a Season Ticket £540

Standard price £720

All prices exclude VAT
Level
Intermediate: Requires some prior subject knowledge
CPD
6 hours
Group bookings
email us to discuss discounts for 5+ delegates

Introduction

For senior managers, clarity on what constitutes ‘reasonable steps’ and how to evidence that the appropriate reasonable steps have been taken is proving to be a challenge for many firms.

This new virtual classroom seminar will provide practical guidance on the behaviours expected in respect of evidencing reasonable steps so that senior managers are comfortable and confident in managing their responsibilities.

The session is geared towards Senior Managers (SMFs) of FCA authorised and regulated firms, as well as Certified Compliance Functions, Heads of Compliance and Compliance Managers.

What You Will Learn

This live and interactive session will cover the following:

  • Introduction to reasonable steps
  • What the FCA tells us
  • Telling your story
  • Breaking it down
  • SMF duty of responsibility
  • Framework example for a senior manager
  • What does the evidence look like?
  • Summary

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.