This webinar took place on the 29th May 2024
This webinar was hosted in conjunction with:
As the debate intensifies on whether the FCA should name a firm once an investigation is open, the FCA’s proactive stance on supervision and enforcement is unmistakable.
In 2022/23, the FCA recorded the highest number of open intervention cases since 2019/20; a clear indication of the FCA’s willingness to use their powers to impose new requirements on firms, alter permissions and even prevent the onboarding of new clients.
How should your firm respond to an ‘assertive, proactive and intrusive’ regulator? In this free 60-minute webinar, our panel of experts will:
- Make sense of the FCA’s increasing use of its full supervisory intervention powers.
- Reveal how your firm can meet heightened FCA scrutiny and avoid enforcement action.
- Assess the degree to which your financial crime systems and controls reflect the regulator’s expectations.
- Demonstrate and evidence to the FCA that Consumer Duty is embedded in your operations.
- Detail the strategies your firm can adopt to reduce conduct breaches and cases of non-financial misconduct.