FCA & Assertive Supervision - A Guide to the Latest Changes
Type | Speaker | CPD Hours | Level |
---|---|---|---|
Webinar
|
1.00 | Intermediate |
Course Outline
Introduction
Following the Gloster Report the FCA has undergone a significant transformation programme to become an assertive regulator that quickly identifies and mitigates risk.
Firms and their senior management can expect more intrusive regulation than ever before as the FCA seeks to demonstrate that not only does it have teeth, but it is now prepared to use them.
This webinar will look at these changes and what they mean for those in regulated financial services.
What You Will Learn
This webinar will cover the following:
- The FCA’s remit and historic approach to supervision
- The changes precipitated by the collapse of London Capital & Finance Plc and the subsequent Gloster Report
- The move to assertive supervision and key supervisory intervention powers
- The legal framework for the use of these powers and wider legal considerations
- Procedural issues
- Case studies
This pre-recorded webinar will be streamed at 12:30pm on Thursday 15th December 2022 and will remain available to view by delegates who have registered by then for 90 days.
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Webinar | 15.12.2022
Individual | 1hr
FCA & Assertive Supervision - A Guide to the Latest Changes
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Dec 15 2022 | 1hr | Individual |