Facing the FCA: Managing Scrutiny and Strengthening Compliance with Health Checks and Mock Exams
Date
Time
Type
Webcast
Firms are under increasing pressure to demonstrate robust compliance frameworks, address potential gaps, and respond effectively to regulatory scrutiny.
Join us on Tuesday, 11 February 2025, at 2pm GMT when we delve into practical strategies to enhance your firm's FCA compliance readiness.
Discussion topics:
- Delivering compliance assurance: Why verifying alignment with your part 4A permission license and implementing effective controls is essential.
- Conducting a compliance health check: Learn how to benchmark your compliance program against industry best practices and regulatory guidance.
- Performing a mock audit/exam: Prepare for an FCA inspection with in-depth analysis and feedback to strengthen compliance culture.
- Handling regulatory scrutiny: Practical steps to effectively respond if your firm comes under the FCA’s spotlight.
- Building a proactive compliance culture: Discover strategies to integrate compliance into daily operations and foster resilience.
- Learning from real-life examples: Explore how firms have successfully addressed challenging FCA findings to improve their compliance posture.
Who should attend?
Compliance professionals, risk managers, and senior leaders seeking to strengthen FCA compliance, prepare for inspections, and foster a proactive compliance culture.
Speakers
- Ruth Avenell, Director, ACA Group
- Alex Bostantzoglou, Senior Principal Consultant, ACA Group
- Phil Bartram, Partner, Financial Services and Markets Department, Travers Smith LLP
- Lenka Vackova, Chief Compliance Officer, Deltroit Asset Management