PIMFA
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The FCA’s Section 166, “Skilled Person Review,” is one of the regulator’s go-to tools they’re not afraid to use, when assessing your firm’s compliance with the CASS rules. No need to be concerned? Think again, as s166 reviews continuing to rise across the sector, firms should be in no doubt that the FCA is prepared to appoint an independent third party to conduct a ‘drains up’ review of your approach to CASS.
Even for the largest firms, a S166 review is intrusive, expensive, time-consuming, and incredibly resource-intensive as your firm attempts to demonstrate effective risk management and adherence to regulatory standards.
In this FREE 60-minute webinar, we’ve assembled a panel of FCA-appointed skilled persons alongside specialists in CASS compliance to answer your most pressing concerns about the s166 review process. No question is off limits as we tackle:
1. ‘Help, we’ve got a s166 notice!’
2. What to do if The FCA commissions a s166 review
3. How to get the most from a CASS s166 review
4. The costs of a skilled person review
5. The foolishness or wisdom of challenging the findings of a s166 review
6. The most effective strategies to avoid a skilled person review
More about Katharine Leaman
Katharine is a regulatory compliance consultant within Leaman Crellin Limited with a background in both professional practice and the financial services industry. With over thirty years of experience in regulatory risk and governance within the banking, insurance, and distribution, financial services industries, including the FCA. She is a highly experienced compliance expert with an executive leadership background experienced in running compliance functions in banks and dealing with FCA requests and supporting banks in remediating issues identified by the regulators.
More about Priscilla Gaudoin
Priscilla is a certified compliance professional specialising in governance, risk management and compliance. With a career spanning 25+ years, she has previously worked as a consultant providing regulatory advice to firms from various FS sectors. She has also held senior management roles as the Chief Compliance Officer and MLRO.
Priscilla has significant experience in designing and implementing compliance processes and controls as well as risk management frameworks. She is a Fellow of the International Compliance Association and a member of the Chartered Institute of Securities and Investments.
