Regulatory Compliance - FCA Requirements

Overview

Having effective systems of risk and control is paramount in meeting

FCA requirements. An effective framework for governance is the

foundation of sound conduct risk. The rest is down to culture and

the right behaviours ensuring decision making is focused on treating

customers fairly and a sustainable business model. This course

looks at the central role approved persons have in this model, what

is meant by systems of risk and control and how a lender in the

consumer credit market ensure that it is compliant and that it takes

adequate steps to make sure its brokers are too.

Learning objectives

At the end of this event, the delegate will be able to identify:

• what is expected from Approved persons

• what is meant by systems of risk and control

• the relative responsibilities of brokers and lenders in CONC

• how lenders will take adequate steps to ensure their brokers

comply with CONC

• how compliance is organised and delivered at PCL.

Neil Lloyd Bio:

Neil Lloyd has worked in the regulated financial services sector for over 18 years in various compliance roles within financial advice, investment and asset management. He has been involved and managed regulatory inspections undertaken by the Financial Conduct Authority and the Central Bank of Ireland, and has been an approved person for Compliance Oversight, MLRO and for Risk. He is the holder of a pre-approved control function with the Central Bank of Ireland and is currently Head of Compliance for UK & Ireland, and MLRO for Premium Credit Limited.

He holds an MBA from Durham University and is a Fellow of the Chartered Institute for Securities and Investment (CISI), a member of the Personal Finance Society and a Member of the Institute of Risk Management. He also sits on a number of examination panels for the CISI.

The Nottingham Insurance Institute charges for non-attendance at all CPD events.

If you do find that you are unable to attend, we ask that you give us at least 4 working days notice that you are no longer able to attend.

Please note, if you fail to let us know before this deadline, we will need to charge a £30.00 (inc. VAT) non-attendance fee to cover the cost of catering, booking arrangements and denial of your place to other members.

All cancellations must be received by email and you will receive confirmation of your cancellation. You may also nominate a replacement if you are unable to attend.

By proceeding with the registration you agree to these terms and conditions.

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