Course description
The FCA has significantly increased the number of cases under investigation in recent years and this trend is set to continue. As a result of the SMCR, the FCA intends to hold more individuals accountable where there have been regulatory failings, such as directors and others holding important roles such as Heads of Compliance and MLROs. It can be a worrying and costly experience.
Presented by Ian Mason and Sushil Kuner of Gowling WLG, this handy 30 minute introduction will cover what to expect and how to respond effectively. You will learn the key pressure points during the process, what powers the FCA has and how to approach the FCA interview. You will also understand the range of sanctions available to the FCA, how to challenge the FCA decision and the options available for settling a case.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
The FCA has significantly increased the number of cases under investigation in recent years and this trend is set to continue.
As a result of the FCA's Senior Managers and Certification Regime, the FCA intends to hold more individuals at firms accountable (as well as the firms themselves) where there have been regulatory failings, such as directors and others holding important roles such as Heads of Compliance and MLROs.
It can be a worrying and costly experience.
This webinar will cover what to expect and how to respond effectively. You will learn the key pressure points during the process, what powers the FCA has and how to approach the FCA interview. You will also understand the range of sanctions available to the FCA, how to challenge the FCA decision and the options available for settling a case.
What You Will Learn
This webinar will cover the following:
- When will the FCA investigate?
- FCA's investigation powers
- FCA investigation process
- FCA interviews
- Penalties and sanctions
- Challenging the FCA decision - settlement, the Regulatory Decisions Committee and the Tribunal
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...