FCA Compliance - Get Up to Speed - Live at Your Desk

Introduction

Compliance in financial services is continuously evolving with a range of regulatory initiatives appearing each year. The financial crash is still having a profound impact on compliance, with the FCA, UK Government and European Union still producing measures to ensure the soundness of the market and the fair treatment of customers. The compliance professional must ensure they are fully versed with recent and upcoming changes.

This live broadcast session is designed to provide an update on recently implemented rules as well as those proposed by the FCA, UK Government or the European Union so that you are fully up to speed and protected against action from the powerful and pro-active financial regulators.

The session is ideal for experienced compliance managers and those new to financial services compliance as it explores the main rules and regulations you and your team need to know to meet the expectations of the FCA.

What You Will Learn

This live and interactive broadcast will cover the following:

• Introduction to the FCA and FSMA
• PRIN / TCF
• SYSC
• DISP
• SM&CR
• FCA Business Plan - the regulator's priorities
• FCA’s cross sector priorities
• FCA’s sector priorities in the following:
• Investment management (MiFID update)
• Retail lending / banking
• General insurance
• Consumer credit

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.