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Introduction to the UK Financial Services Regulator - FCA

Thursday, September 28, 2017 - 09:00
1 Day
Conducted by: 
Eureka Financial
Sam Baker

This practical 1 day course is designed to give attendees the confidence and understanding by making sense of the regulators approach to Financial Service firms, how they believe companies should be run and what they look for. Often Financial Services firms miss the opportunities to recognise areas that give cause FCA concerns, this course illustrates how to recognise and react to areas of concern before the regulator.  

Each element of the course is designed to set out how attendees can work to ensure their respective firms act with confidence and understanding of the FCA.  It explains the ways in which the regulators supervise firms, the powers available to them should they wish to take action against a firm and provides an outline of the principal areas of regulation in relation to the activities of a regulated firm. 
By the end of this course you will: 

  • Be able to understand the current financial services regulatory regime in the UK and its resoning
  • Know what's involved in the authorisation and approval process for new companies
  • Know the objectives of the FCA
  • Understand the shape of an effective regulatory handbook
  • Recognise the structure of effective regulator communications
  • Have basic knowledge of the supervisory and enforcement processes
  • Know the main sanctions the regulators can impose following enforcement action

You may be interested in combining this programme with Getting Prepared for the Regulatory Visit on 29 Sep & 8 Dec 2017. Register for both and get £100 discount (in total, not per programme).
Register early and take advantage of our Early Bird offer!

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