FCA Compliance Essentials - The Rules & Regulations Explored

Introduction

Compliance in financial services continually evolves as the regulator reacts to the challenges it faces.

The Financial Conduct Authority (‘FCA’) is a powerful, conduct focused regulator which continually updates its approach depending on the risks posed by firms. A practitioner working in an FCA regulated environment needs to understand the conditions which, if broken, may result in enforcement action as well as the steps the regulator may take during such action.

The key regulations include the threshold conditions, notification requirements under SUP, PRIN, SYSC, SM&CR and of course, the Consumer Duty.

This webinar explores the latest on all the rules and regulations you and your team need to know to remain compliant with FCA expectations.

What You Will Learn

This webinar will cover the following:

• FCA statutory aims and powers under Financial Services and Markets Act 2000
• Consumer Duty
• The threshold conditions
• Meeting SM&CR requirements
• Being regulated [SUP, DEPP and dealing with enforcement action]
• SYSC
• FCA DISP
• FCA PRIN

This pre-recorded webinar will be available to view from Friday 19th June 2026

Alternatively, you can gain access to this webinar and 2,100+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.