FCA ‘Live and Local’

The FCA has announced a year long programme that will see them visit all UK regions. The ‘Live and Local’ programme will see a team from the FCA in a region for a month at a time.

The programme will include:

  • Positive Compliance sessions – focussing on ‘The advice process: building a solid base’;
  • Roundtables – these are an opportunity to take part in an open forum with a panel of two FCA and two industry representatives;
  • Surgeries – an opportunity to discuss specific issues facing your business and the needs of your clients;
  • Supervisory workshops – focus on the subject of ‘Professional Governance’ for the investment sector and ‘Delivering fair customer outcomes’ for the General Insurance sector;
  • Culture and governance General Insurance – focus on the FCA’s expectations of firms, feedback on thematic and supervision work and how this is used to assess culture and governance; and
  • Chairman’s lunch.

The programme started in March 2016 in the South West and will end in March 2017 in the North West. The full programme and information can be found here.

To get further information click on your relevant area and follow the links on the right hand side of the following page. 

Important Note: ATEB news is intended to provide general information ONLY. The content, including any views expressed or guidance provided, does not replace the need to comply fully with FCA Rules and Guidance. Unless you have discussed news article content with ATEB, and specifically how it relates to your circumstances, then ATEB disclaims all liability and responsibility and actions arising from any reliance placed upon it. For the avoidance of doubt therefore, any reliance you place on such information without our consultation is at your own risk.

ATEB Compliance offers compliance and regulatory advice.

ATEB Suitability provides report writing software for the financial services market.

Our View

Previous positive workshops have been well received.

They give a valuable insight into the regulator’s expectations and the opportunity to interact directly with the FCA. 

Action Required By You

  • We recommend that you attend the workshops;
  • Decide who should attend;
  • Follow the link above to register.
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About the Author

Steve is an ATEB Director and has a deep understanding of all matter regulatory, built up over his 30 years + in the industry. With a training background and a technical brain, he overseas numerous complex projects and client implementation work.

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