I have always found Neil to be highly professional, totally focused on results and someone who can be relied upon to get the job done.
Stephen Young, Sales and Marketing Director, Sesame Group
How does FSA regulation work?
Objectives
- To understand where the FSA derives power and it’s accountability
- To understand the FSA Handbook and how it is structured
- To understand the High level requirement of firms
- To understand how the FSA approaches supervision
- To understand how the FSA approaches enforcement
Who should attend
Individuals new to the compliance process as well as individuals who need an understanding of regulation within the FS Industry.
Summary of content
- The FSA – it’s powers and it’s accountability
- The FSA Handbook
- The High Level requirement of firms
- Oversight, supervision and enforcement
Duration
2 days
