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.
Dear CEO General Insurance Intermediaries Client Money Arrangements
Michael Senior Compliance FCA, protected, protection, transfer
Following a series of financial resilience surveys and a letter issued in September last year the FCA has issued a Dear CEO letter about adequate client money arrangements, that can be accessed here. The FCA is keen to ensure client money is adequately protected, that firms follow the CASS 5 rules and review arrangement […]