Course description
The 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.
Presented by financial compliance expert Robert Bell, this webinar explores all the rules and regulations you or your team need to know to remain compliant with FCA expectations.
Topics to be covered include the FCA statutory aims and powers under the Financial Services and Markets Act 2000, Consumer Duty, meeting SM&CR requirements, SYSC, and more.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
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
- FCA DISP
- FCA PRIN
Expenses
MBL Seminars Limited
MBL is a leading learning and development provider for professional service firms. Over the past 18 years, more than 198,000 people across 23,000 different organisations spanning 81 countries, have chosen us to deliver their training. With over 800 expert speakers...