The latest round of FCA Business Risk Awareness Workshops (BRAW) have been announced for the North-East and North Yorkshire and will take place over coming weeks.
The relevant postcodes are DH, DL, HG, LS, NE, SR, TS, BD, BB, CA, LA.
You should have received an invitation if you are in one of these postcodes.
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ATEB Suitability provides report writing software for the financial services market.
These are important events. They form part of the FCA’s approach to supervising smaller firms.
If you haven’t received an invitation, check SPAM etc, and if need be contact the FCA.
It is important that you make every effort to attend.
Re-familiarise yourselves with the Business Risk Awareness assessment process here of which these workshops are only the first part. They will be followed up by regulatory reviews and potentially further follow-up work.
If you need any support or preparation assistance, please contact us here.
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Doesn’t time fly?
Paul Jay Compliance complaints, email, FCA, Register
Yes, believe it or not, as this article lands in your inbox it’s six months since Consumer Duty went live. Time really does fly when you’re having fun (what do you mean, this isn’t fun?) and in another six months from now the second phase of CD, covering closed products, comes into effect. More […]