Course description
Compliance in financial services is now the most important factor in creating a successful financial services firm. The Financial Conduct Authority (FCA) is a powerful and proactive regulator with wide ranging rules which, if broken, may result in enforcement action as well as the steps the regulator may take during such action.
Robert Bell presents this comprehensive and informative webinar which explores all the rules and regulations you or your team need to know to remain compliant with FCA expectations, covering the key rules and changes that are due. It will cover the FCA statutory aims, its powers under the Financial Services and Markets Act 2000, the threshold conditions 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.
All practitioners 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 conditions include the threshold conditions, notification requirements under SUP, PRIN and SM&CR.
This newly updated webinar explores all the rules and regulations you or your team need to know to remain compliant with FCA expectations, covering the key rules and changes due.
What You Will Learn
This webinar will cover the following:
- FCA statutory aims and powers under Financial Services and Markets Act 2000
- The threshold conditions
- Meeting SM&CR requirements
- Being regulated - SUP, DEPP and dealing with enforcement action
- FCA PRIN
- FCA DISP
- Consumer Duty
- Operational Resilience
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...