FCA Update - Conduct Risk by Branko Bjelobaba, Branko Ltd

This event, for FCA regulated firms only, will provide an update on recent key changes made by the FCA: current areas of interest, Section 166s, Approved Persons' attestations and penalties, new RMAR client money reporting requirements and the new complaints rules. It will then focus on Conduct Risk and allow ample discussion on areas that can be improved and look at a case study. As this event has now been delivered successfully at many large locations Branko will share with you the feedback from over 100+ delegates as to how they have done things at their companies. He will also spend time on the current FCA thematic review into Appointed Representatives and Delegated Authorities. Branko will explain what is expected by the FCA and the changes you should have made/will want to make.

In addition, all delegates will receive a Conduct Risk assessment tool to enable them to undertake a frank evaluation as to whether their own business presents any areas required for improvement plus the FCA question pack on the Thematic Review of Appointed Representatives.

Learning objectives:

By attending this event, delegates will get an insight into:

• Current FCA key initiatives
• What Conduct Risk entails
• What then may need to be done
• The FCA Thematic Review into Appointed Representatives (to include Delegated Authorities)