FCA Compliance - The Rules & Regulation Explored

FCA Compliance - The Rules & Regulation Explored

Available to view from 28 Oct 2024

With a SmartPlan £99

With a Season Ticket £198

Standard price £396

All prices exclude VAT
Update: Requires no prior subject knowledge
1.25 hours
Access for entire organisation


Compliance in financial services has changed beyond recognition and is now the most important factor in creating a successful financial services firm.

The Financial Conduct Authority (‘FCA’) is a powerful and pro-active regulator with wide ranging rules contained within the FCA Handbook as well as a range of supporting documents.

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 all the rules and regulations you or 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

This pre-recorded webinar will be available to view from Monday 28th October 2024

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FCA Compliance - The Rules & Regulation Explored