Culture lies at the heart of strengthening your approach to Consumer Duty, Financial Crime, DEI and Vulnerable customers. Yet, despite the frequent reminders from the FCA, wealth management firms still need to work on demonstrating to the regulator how they can positively shift the culture needle. In this FRE 60-minute webinar, our experts unpack: Why Culture remains central to the FCA’s supervisory model How to…

The FCA still believe that firms subject to IFPR, can and must improve the implementation of the internal capital adequacy and risk assessment (ICARA) process and reporting requirements under IFPR. Identifying good practices in many firms, the FCA still found ‘significant failings’ in applying capital models for operational risk. In this FREE 60-minute webinar, Thistle Initiative’s experts unpack the FCA latest expectations, highlighting where and how PIMFA member firms…

FCA fines against firms and individuals totalling £87 million so far in 2024 indicate a serious knowledge gap among senior managers in financial services firms. They are often unprepared and overwhelmed to interpret and respond appropriately to the volume and complexity of regulatory change for which they are responsible. In this FREE 60-minute webinar, experts from CCL Academy unpack what you, as a newly appointed…

Before the FCA initiates a Section 166 review of your firm's approach to CASS, the regulator typically takes several preliminary steps to assess your firm's compliance and risk profile. Yet for many firm’s the regulators actions before a s166 is triggered, remain a mystery. In this FREE 60-minute webinar, we unpick the crucial steps leading up to a Section 166 notice, demystifying the key processes…

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…

On 26 October 2024, a new section of the Equality Act 2010 came into force, placing a new duty on firms to take reasonable steps to prevent the harassment of a sexual nature of workers in the course of their employment. In this FREE 60-minute webinar, employment law experts from DAC Beachcroft LLP will explore what the newly established legal obligation is, means in practice…