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Compliance Update: Breakfast Briefing

Come along to our Compliance Update: Breakfast Briefing, and hear from our expert compliance trainers as they provide insight into a range of topical issues including the new Consumer Duty.

The briefing is designed to assist firms in their planning and is intended for Compliance, FCC and L&D/Training staff at FCA regulated firms.

Date: Wednesday 19th October
Time: 9:30 - 11:30 am
Location: The Great Hall, One Moorgate Place, London, EC2R 6EA

Agenda

  • The developing challenges of international sanctions
  • Issues to know, issues to look out for
  • Applying a sanctions compliance programme

Followed by Q&A

  • The implementation plan
  • The FCA's key questions
  • How to train on the Consumer Duty

Followed by Q&A

  • How useful are learning theories in practice?
  • What can we learn from behavioural change models?
  • Developing an effective compliance curriculum

Followed by Q&A

  • The FCA’s focus on financial promotions
  • New rules for higher-risk products
  • Practical steps for meeting the regulator’s expectations

Followed by Q&A

  • Q&A
  • Summary 
  • Close

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