The impact of Covid 19 and Brexit have both added another layer of complexity to an already rigorous and complicated process of getting your firm authorised by The FCA. Now more than ever, the regulator is looking for businesses wishing to carry out prescribed ‘regulated activities’ to demonstrate that they have robust systems and controls needed to manage regulatory risks and a firm-wide understanding of the FCA’s current priorities like ‘Culture and Conduct’ and ‘Purpose’ that drive better customer outcomes.
In this webinar we discuss:
- What questions FCA case officers are asking applicants in 2021?
- Why the regulator rejects authorisations
- How to assure the regulator senior managers are competent
- How to maintain and evidence ongoing FCA compliance