Legal Training and CPD Courses for Lawyers
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Course FCA Compliance: An Introduction


The Financial Conduct Authority is responsible for regulating the financial services sector, which comprises 56,000 firms employing over 2.2 million people. Lawyers advising firms in this sector need to understand its approach to regulation.

This brand new half day course is aimed at:

• Lawyers, both in-house and in practice, who advise in connection with FCA regulation

• Non-lawyers working for authorised firms who want to understand the principles which underpin the compliance regimes in which they operate

It will provide an overview and introduction to the theory and practice of the FCA regime and will particularly focus on:

  • FCA status, objectives and powers
  • S19 FSMA/the General Prohibition
  • Exempt firms
  • Regulated activities/exemptions
  • Alternatives to authorisation
  • Applying for authorisation
  • Supervision and reporting
  • Individual responsibility/the Senior Managers Regime
  • FCA enforcement
  • The "Handbook" requirements

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3 hours


Package Price
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Non Member

(Excluding VAT)


Richard HumphreysDetails


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Thu 27 Sep 2018 Book
09:30 | London
Richard Humphreys

Wed 17 Oct 2018 Book
14:00 | Leeds
Richard Humphreys

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