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.
AR survey
Michael Senior Compliance 2021, complaints, Conduct, email, EU, FCA, scam, Xplan
The FCA is requesting completion of a survey from firms with Appointed Representatives (ARs). Where applicable, firms may already have received this. Given the risk of scams, the FCA now takes care to pre-warn firms that a communication is genuine. We have had confirmation that the following survey and email addresses used are legitimate. […]