Key Details

Duration: 3 Hours Location: City of London Price: 499 GBP per person
Upcoming Dates: 02 Oct 2019 ,  21 Nov 2019

Overview

Individuals holding the Compliance Oversight function in an authorised firm need to ensure that they maintain up-to-date knowledge of the FCA regulatory regime, including the regulator’s current priorities. Whilst this can be a challenge for any Compliance Officer, it can be particularly difficult for those in smaller firms, who may...

Individuals holding the Compliance Oversight function in an authorised firm need to ensure that they maintain up-to-date knowledge of the FCA regulatory regime, including the regulator’s current priorities. Whilst this can be a challenge for any Compliance Officer, it can be particularly difficult for those in smaller firms, who may be juggling multiple roles within the business.

This half-day workshop is intended to give Compliance Officers, and others holding compliance responsibilities within their firm, an opportunity to refresh their knowledge of key compliance topics. In particular, it will provide an update on the FCA’s expectations for compliance, as well as outlining the regulator’s current priorities. It will also provide an opportunity for participants to evaluate their approach to risk assessment and compliance monitoring. The workshop will conclude by exploring the impact of upcoming regulatory developments, including the extension of the Senior Managers & Certification Regime (SM&CR).

Who is this for?

The course is particularly suitable for those holding the Compliance Oversight function within their firm but will also be of benefit to anyone wishing to update or refresh their compliance knowledge.

  • The regulator’s expectations for compliance
  • FCA priorities – what are the regulator’s concerns about your business?
  • The evolving nature of compliance risk
  • Challenges of compliance monitoring
  • The impact of the SM&CR
  • Major regulatory developments – what’s on the horizon?

At the end of the workshop, participants will:

  • Have updated their knowledge of the principal obligations of the compliance function within an authorised firm
  • Know the FCA’s current priorities and have considered their potential impact on firms
  • Understand the significance of compliance risk assessment, and its impact on compliance monitoring
  • Have an awareness of upcoming regulatory developments, including the SM&CR