An Inspector Calls - How to Prepare for an FCA Visit

Introduction

Being fully aware of what the FCA expects from firms in terms of following rules, guidance and principles is the first step in getting it right and keeping your firm and your clients safe from harm.

Occasionally, things might go wrong, so you need to be able to evidence that you’re prepared for unexpected circumstances and that you are taking ‘reasonable steps’ to show that you are taking accountability for putting things right, if they do go wrong under your watch.

This virtual classroom seminar is aimed at managers, certified roles and those with compliance functions of FCA authorised firms. The biggest challenge for authorised firms is that they don’t know what they don’t know.

What You Will Learn

This live and interactive course will cover the following:

• The new era of regulation - what does this mean for you?
• The FCA’s Supervisory Regime
• Triggers for an FCA investigation
• The hotspots to watch out for
• How to get it right
• What to do if you get it wrong

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.