The FCA’s Supervisory Powers under the IFPR - Will Your Firm be in the Firing Line?

Introduction

The ‘Investment Firms’ Prudential Regime’ which imposes the capital and liquidity requirements for MiFID Investment Firms, has been in place for over two years but have all rules and requirements been understood and implemented properly?

More importantly, new clarifications from the FCA on a continuous basis just seem to be the norm causing firms to invest a lot of time and effort to remain compliant.

With continuous clarifications being provided by the FCA, is your firm investing the necessary time and resources to stay abreast and ensure ongoing compliance?

Regardless of the size and complexity of your firm, the key question is:

How much is considered ‘adequate’?

This new virtual classroom seminar is suitable for COOs, CFOs, CEOs and those responsible for operations, compliance, and finance.

What You Will Learn

This live and interactive course will cover the following:

• How to avoid the ‘pitfalls’ in your quarterly regulatory reporting
• What will lead to bigger issues if not dealt with properly?
• What does a good ‘ICARA’ and a good ‘wind down plan’ look like?
• Have you calculated all the thresholds and triggers relating to the ‘Overall Financial Adequacy Rule’ correctly?
• If your firm was subject to an FCA enquiry, would you be able to demonstrate that you have incorporated the regime into your day-to-day operations? If not, how can you fix it?

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.