FCA Compliance in Practice - A Practical Introduction to Risks, Responsibilities & Expectations

Introduction

This new virtual classroom is designed for individuals new to compliance, risk or other roles where an understanding of FCA compliance is essential. It can also be useful for those commencing senior management roles for the first time where you need to enhance your understanding of FCA compliance.

As the FCA continues to develop its regulatory approach, this session looks at their regulatory strategy, identifying the key risks to be aware of and how to manage those compliance risks. In this session, we will explore their approach to regulation, standards and expectations on both firms and senior managers with a focus on the hot topics of the day, such as the Consumer Duty.

What You Will Learn

This live and interactive course will cover the following:

• How the FCA operate - tools available
• Latest FCA strategy and key risks to look out for
• Key rules in the FCA Handbook (PRIN, PRIN 2A, SYSC, DISP, SUP)
• Regulatory horizon update - what's new?
• The Consumer Duty - continued feedback and updated expectations
• Dealing with problem firms - the FCA’s approach
• Supporting vulnerable persons
• Senior Managers & Certification Regime (‘SM&CR’)
• Enforcement updates

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.