Facing the FCA: Managing Scrutiny and Strengthening Compliance with Health Checks and Mock Reviews

In light of the Financial Conduct Authority's (FCA) proposals to announce enforcement investigations against firms and its continuing emphasis on the importance of culture in compliance, it is imperative that firms evaluate and enhance their internal practices. The FCA has highlighted that culture is central to how it supervises firms and that "firms with healthy cultures are less prone to misconduct”. 

Now available on demand, this webcast explored practical strategies to enhance your firm's FCA compliance readiness. Tune in today to learn more. 

Discussion topics:

• Delivering compliance assurance: Why verifying alignment with your Part 4A permission and implementing effective controls is essential. 
• Conducting a compliance health check: Learn how to benchmark your compliance programme against industry best practice and regulatory guidance. 
• Performing a mock review: Prepare for an FCA review with in-depth analysis and feedback to strengthen compliance culture. 
• Handling regulatory scrutiny: Take practical steps to respond effectively, should your firm come under the FCA’s spotlight.  
• Building a proactive compliance culture: Discover strategies to integrate compliance into daily operations. 
• Learning from real-life examples: Explore how firms have successfully addressed challenging FCA findings to improve their compliance. 

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