The FCA will be continuing their well received Live and Local roadshows during 2017.
Positive Compliance will run on the mornings of 10 and 11 January in Leeds.
Positive Compliance mortgage sessions will run on the afternoons of 10 and 11 January in Leeds. This session will focus on expectations of firms providing advice from a regulatory perspective, allow participants to share good practice and explore the findings of the FCA’s thematic work.
A supervisory workshop, focusing on professional governance, will be held on 17 January in York.
One-to-one surgeries will be held on the 18 January in Doncaster.
There will be a roundtable on 26 January in Harrogate, attended by a panel of FCA and industry representatives.
You can register for all sessions here.
Registration is also open for the sessions that will be run in the North West in March.
Regulatory permission – use it or lose it
Michael Senior Compliance 2021, FCA, ML, protection, Register
The FCA has published draft guidance on a new power that allows it to move faster to remove regulatory permissions that are no longer being used by financial services firms. Responses to the consultation (CP21/28) close on 29 October 2021. The driver behind the proposed power is the regulator’s belief that incorrect or outdated permissions […]