FCA Positive Compliance Workshops

The latest FCA Positive Compliance workshops will focus on the regulatory requirements of RDR (morning session) and the use of Centralised Investment Propositions and Replacement Business (afternoon session).

We don’t expect any startling revelations from the FCA because these topics have been well documented.

However ……..

…….. the fact that the FCA feels that workshops are necessary suggests that they remain concerned about standards. Recent RDR thematic reviews have highlighted significant non-compliance, while the potential mis-use of CIPs and switching into CIPs poses significant risk for consumers.

The workshops therefore provide the opportunity to hear directly from the horse’s mouth and to see examples of good (and poor) practice.

For a list of dates and venues click here. Further information is available here and here

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.

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Our View

Previous positive compliance workshops have been well received and we recommend that you attend. They are relevant to all investment firms and give a valuable insight into the regulator’s expectations.

They provide the opportunity to interact directly with the FCA and will allow you to ask questions and clarify matters. 

We value the workshops and will be attending one of the earliest sessions. 

Action Required By You

  • We recommend that you attend the workshops;
  • Decide who should attend;
  • Follow the links above and book a place.
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About the Author

Technical Manager - Often referred to as the Oracle or the Sage, Alistair has a wealth of financial services experience. He is our go-to Technical Manager and enjoys nothing more than a complicated conundrum. Feel free to test his renowned knowledge by getting in touch.

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