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Webinar: FCA Business Plan & Regulatory Business Grid

12th of May | 11am | Online

This webinar will unpack the key focus areas of the FCA Business Plan and explain their implications for firms. It will ensure you remain ahead of emerging priorities and compliance obligations, helping to maintain strategic alignment across your organisation.

Further details and discussion points to follow.

 

Who should attend?

Compliance officers

Responsible for regulatory training programmes

L&D and
training managers

Who are building compliant learning strategies

Senior directors

Who are overseeing compliance and risk management

HR leads

Managing employee deployment

Speakers:

Katharine Leaman bio 330x330

Katharine Leaman

Advisory Board Member - Skillcast

Katharine has worked in financial services for over thirty years in insurance claims, giving investment advice, regulation, and banking compliance. Katharine has been European Head of Regulatory Compliance at Standard Chartered Bank and spent over a decade at the UK's regulator, the FSA (now FCA in senior policy and supervision roles. 
 
Katharine’s expertise is in technical areas of the rules such as Market Abuse, CASS, SMCR, and Outsourcing. As well as issues that have a broader regulatory focus such as market conduct, non-financial misconduct, conduct risk, operational resilience, and consumer duty. 
 
At Leaman Crellin Katharine regularly provides compliance advice to the C-suite as well as to front-office trading and salespeople around the world. 
david-kenmir-colour_330x330

David Kenmir

Advisory Board Chairman - Skillcast

David Kenmir has 35 years Regulatory Experience including 5 years as a Managing Director of the FSA and 14 years as a Risk and Regulatory Partner at PwC. Having recently retired from PwC he is starting a plural career as part of which he will become Chair of Skillcast’s new Advisory Board.

David has broad regulatory experience and has worked on many aspects of Financial Crime including s166 reviews, and Enforcement cases. David is known for speaking and writing about many aspects of regulation and its unintended consequences.

Ensure FCA compliance with these specialist courses

Good Outcomes for Vulnerable Customers

In-depth 30 Minutes All staff

Companies have a legal obligation to identify the signs of vulnerability and ensure that vulnerable individuals are treated fairly.

See the course

Overview of the Consumer Duty

In-depth 30 Minutes All staff

The FCA's Consumer Duty is a new standard which addresses the conduct of firms.

See the course

Meeting the Conduct Rules in FCA Solo Regulated Firms

In-depth 25 Minutes SMCR All staff

The Conduct Rules are a fundamental aspect of the SMCR.

See the course

Whistleblowing in Financial Services

In-depth 15 Minutes All staff

Our Whistleblowing training course educates employees on reporting misconduct safely and ensures protection.

See the course

Meeting the Conduct Rules in Dual Regulated Firms

In-depth 25 Minutes SMCR All staff

The Conduct Rules are a fundamental aspect of the SMCR.

See the course

Complaints Handling

In-depth 40 Minutes All staff

The FCA has identified that the number of complaints submitted in the financial services sector has increased year on year in recent times in the UK.

See the course

Introduction to the Consumer Duty

Express 15 Minutes All staff

The FCA's Consumer Duty is a new standard which addresses the conduct of firms.

See the course

Treating Customers Fairly

In-depth 40 Minutes All staff

Treating Customers Fairly (TCF) applies to firms in the financial services industry.

See the course

Personal Conflicts of Interest

In-depth 25 Minutes All staff

The FCA states that a firm must manage conflicts of interest between itself and its customers or other clients.

See the course

Introduction to UK Financial Regulation

In-depth 45 Minutes All staff

NEDs are an important part of a firm's governance and provide independence and oversight.

See the course

Operational Resilience

In-depth 55 Minutes DORA All staff

The FCA has made operational resilience a requirement for banks, building societies, PRA-designated investment firms, enhanced scope firms and other financial institutions.

See the course

CASS Overview

In-depth 35 Minutes All staff

The FCA's Client Assets Sourcebook (CASS) supports Principle 10 of the FCA's Principles for Businesses.

See the course

Conflicts of Interest in Asset Management

In-depth 30 Minutes All staff

The FCA outlines its expectations that asset management firms establish and maintain an effective framework to identify, control and review conflicts of interest.

See the course

MCOB - General Standards

In-depth 40 Minutes Financial Crime All staff

The Mortgage Conduct of Business (MCOB) for General Standards applies to all firms that deal with home finance.

See the course

Principles for Businesses

In-depth 20 Minutes All staff

The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.

See the course

Ethical Standards in Finance and Investment

In-depth 40 Minutes Financial Crime All staff

The FCA's ethical standards apply to individuals in finance and investment.

See the course

BCOBS - General Standards

In-depth 25 Minutes Financial Crime All staff

The FCA Banking Conduct of Business Sourcebook (BCOBS) applies to all firms that accept deposits from banking customers in the UK.

See the course

Training and Competence

In-depth 30 Minutes Financial Crime All staff

Training and Competence (T&C) forms an important part of UK regulations under the FCA.

See the course

Overview of SM&CR for FCA Solo Firms

In-depth 30 Minutes All staff

Our SMCR Overview training course will help your employees understand the key steps needed to comply with the regime.

See the course

COBS - Client Communications and Financial Promotions

In-depth 20 Minutes All staff

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.

See the course

CONC - Consumer Credit Regulations

In-depth 40 Minutes All staff

The FCA's Consumer Credit sourcebook (CONC) applies to all firms engaged in credit-related regulatory activities in the UK.

See the course

Introduction to the Senior Managers and Certification Regime (SM&CR)

Express 10 Minutes SMCR All staff

The UK's financial services sector has been rocked over the past decade by scandals ranging from misselling to market manipulation.

See the course

COBS - Client Categorisation

In-depth 20 Minutes Financial Crime All staff

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.

See the course

Payment Services Regulations

In-depth 25 Minutes Financial Crime All staff

The Payment Services Regulations (PSRs) 2017 was introduced in 2018 and set the Payment Services Directive 2 (PSD2) in motion.

See the course

Whistleblowing for Managers (FS)

In-depth 35 Minutes Financial Crime Managers

Whistleblowing refers to disclosing corrupt, illegal or fraudulent activities committed by organisations.

See the course

Appropriate Use of Communication Channels

In-depth 10 Minutes Financial Crime All staff

Not all communication channels are appropriate for business purposes.

See the course

Markets in Financial Instruments Directive II (MiFID II)

In-depth 40 Minutes Financial Crime All staff

The Markets in Financial Instruments Directive (MiFID) originally aimed to increase competition and integration in markets for financial instruments.

See the course

COBS - Dealing and Managing

In-depth 20 Minutes Financial Crime All staff

The FCA Conduct of Business Sourcebook (COBS) applies to financial firms in the UK.

See the course

Information Barriers

In-depth 45 Minutes Financial Crime All staff

The flow of information in financial firms needs monitoring between businesses involved with private and public side activities.

See the course

Senior Management Arrangements Systems and Controls

In-depth 25 Minutes Financial Crime Managers

The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms.

See the course

Conduct Rules for Senior Managers at Dual Regulated Firms

In-depth 60 Minutes Financial Crime Managers

Under the Senior Managers Regime, all senior managers must comply with the FCA's six Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).

See the course

MCOB - APRC, Shortfalls and Charges

In-depth 30 Minutes Financial Crime All staff

The Mortgage Conduct of Business (MCOB) for the Annual Percentage Rate of Charge (APRC), shortfalls, and charges apply to home finance businesses.

See the course

FSCS Deposit Protection

In-depth 20 Minutes Financial Crime All staff

The Financial Services Compensation Scheme (FSCS) safeguards customers' finances.

See the course

Complaints Handling for Managers

In-depth 35 Minutes Financial Crime Managers

One of the three operational objections of the FCA is to protect consumers.

See the course

Overview of SM&CR for Dual Regulated Firms

In-depth 30 Minutes SMCR All staff

Our SMCR Overview training course will help your employees understand the key steps needed to comply with the regime.

See the course

Fit and Proper Assessments

Express 20 Minutes SMCR All staff

In order to perform a Senior Management Function (SMF), Senior Managers need to be approved by the FCA and, for dual regulated firms, the PRA.

See the course

Conduct Rules for Non-Executive Directors (NEDs)

In-depth 30 Minutes SMCR Managers

NEDs are an important part of a firm's governance and provide independence and oversight.

See the course

Non-Financial Misconduct

Express 15 Minutes SMCR All staff

Non-financial misconduct is behaviour that is unrelated to regulated activities, including serious offences such as harassment, bullying, sexual discrimination and sexual misconduct The FCA has indicated it is prepared to consider non-financial misconduct when assessing fitness and propriety.

See the course

Conduct Rules for Senior Managers at FCA Solo Firms

In-depth 60 Minutes SMCR Managers

Under the Senior Managers Regime, all senior managers must comply with the FCA's six Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).

See the course

AIFM Regulations

In-depth 25 Minutes All staff

The Alternative Investment Fund Managers Directive (AIFMD) was developed by the EU in order to create a harmonised framework of rules for regulating AIFMs.

Appointed Representatives Regulatory Responsibilities

In-depth 20 Minutes All staff

The FCA expects companies to ensure all their appointed representatives know the provisions within the FCA handbook.

BCOBS - Distance Communications

In-depth 15 Minutes All staff

The Banking Conduct of Business Sourcebook (BCOBS) applies to all firms accepting deposits from banking customers in the UK.

Benchmarks Regulation

In-depth 45 Minutes All staff

The FCA defines a Benchmark as an index used to determine the value of or the amount payable under a financial instrument (or contract).

Breathing Space Regulations

In-depth 25 Minutes All staff

Breathing Space Regulations apply to creditors whose debtors are eligible for additional time to repay their debt.

CASS 10 - CASS Resolution Pack

In-depth 25 Minutes All staff

A CASS Resolution Pack (RP) contains a specific set of documents that helps speed up client money and assets return if a firm fails.

CASS 6 - Custody Rules

In-depth 30 Minutes All staff

The rules and guidance in CASS 6 apply to a firm when it is safeguarding and administering custody assets.

CASS 7 and 7A - Client Money Rules and Client Money Distribution and Transfer

In-depth 50 Minutes All staff

The rules and guidance in CASS aim to achieve the FCA's objective of ensuring that consumers are adequately protected.

CASS 8 - Mandates

In-depth 30 Minutes All staff

Under the requirements of CASS 8, you must understand what a mandate is and how to deal with them.

CASS 9 - Information to Clients

In-depth 25 Minutes All staff

Under the requirements of CASS 9, you are required to pass on certain information to clients, particularly where prime brokers, custody assets and client money are concerned.

CeMAP Competency Refresher

In-depth 65 Minutes All staff

The Certificate in Mortgage Advice & Practice (CeMAP) is a UK specific qualification issued by the London Institute of Banking & Finance (LIBF).

COBS - Appropriateness

In-depth 20 Minutes All staff

The FCA's Conduct of Business Sourcebook (COBS) applies to financial firms that deal with customer investments on an execution-only basis.

COBS - Client Communications High Risk Investments

In-depth 20 Minutes All staff

The Conduct of Business Sourcebook (COBS) rules that relate to client communication apply to all promotional communications that investment firms have with their clients and prospects.

COBS - Suitability

In-depth 20 Minutes All staff

The FCA Conduct of Business Sourcebook (COBS) applies to finance and investment firms in the UK.

Complaints Handling for the Mortgage Market

In-depth 40 Minutes All staff

The FCA outlines complaints handling rules in the Dispute Resolution Sourcebook (DISP).

FX Global Code

In-depth 60 Minutes All staff

The FX Global Code is a set of global principles of good practice in the foreign exchange market.

ICOBS - Cancellation and Claims

In-depth 15 Minutes All staff

The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses.

ICOBS - Distance Communications

In-depth 15 Minutes All staff

The Insurance Conduct of Business Sourcebook (ICOBS) for distance communications applies to all insurance firms that engage in distance marketing activity in the UK.

Introduction to the Perimeter Guidance Manual

In-depth 20 Minutes All staff

PERG helps clarify when financial activities need FCA authorisation, as outlined by the Financial Services and Markets Act 2000 (FSMA).

MCOB - Advising and Selling

In-depth 45 Minutes All staff

The Mortgage Conduct of Business (MCOB) Advising and Selling standards apply to businesses that advise on or arrange mortgage contracts, equity release transactions, home purchase plans or sale and rent back agreements.

MCOB - Disclosures

In-depth 30 Minutes All staff

The Mortgage Conduct of Business (MCOB) for Disclosures applies to businesses involved in home finance transactions.

MCOB - Equity Release

In-depth 40 Minutes All staff

The Mortgage Conduct of Business (MCOB) for Equity Release applies to businesses that make recommendations or provide personalised information to customers on equity release products.

MCOB - Financial Promotions

In-depth 30 Minutes All staff

The Mortgage Conduct of Business (MCOB) for Financial Promotions applies to financial promotions in the home finance business.

Mortgage Credit Directive

In-depth 30 Minutes All staff

The EU Mortgage Credit Directive (MCD) applies to all businesses dealing with first-charge, second-charge, and buy-to-let mortgages.

Outsourcing and Third Party Risk Management

In-depth 60 Minutes All staff

As the risk inherent to business relationships grow, regulators have been drafting and implementing outsourcing and third-party risk management rules and guidance.

Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation

In-depth 30 Minutes All staff

The Packaged Retail and Insurance-based Investment Product (PRIIP) Regulation affects retail investors who need to understand the complexities of these products.

Pensions Ombudsman Complaints Handling

In-depth 40 Minutes All staff

In the UK, the Pensions Ombudsman handles pension complaints and disputes at no cost to members of occupational and personal pension schemes.

Prudential Regulation

In-depth 45 Minutes All staff

Prudential Regulation applies to firms in financial services.

Responsible Lending and Affordability

In-depth 60 Minutes All staff

Responsible Lending and Affordability are non-negotiable principles that underpin the UK's mortgage market reform.

SEC Rule 15a-6

In-depth 20 Minutes All staff

To engage in securities transactions with United States (US) clients, non-US firms must comply with Rule 15a-6 requirements.

Sustainability Disclosure Requirements (SDR) and Investment Labels

In-depth 30 Minutes All staff

The introduction of sustainability rules aims to enhance the transparency and credibility of financial products with sustainability objectives.

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs)

In-depth 25 Minutes All staff

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs) exist as part of the US response to the financial crisis.

UCITS

In-depth 30 Minutes All staff

Undertakings for the Collective Investment in Transferable Securities (UCITS) Directive aims to offer asset managers and investors greater business opportunities.

UK Money Markets Code

In-depth 60 Minutes All staff

The UK Money Markets Code provides a set of principles to promote the integrity and effective functioning of the UK money markets.

Understanding Failure to Prevent Fraud (FTPF) in Financial Services

In-depth 30 Minutes Failure to Prevent Fraud All staff

Failure to Prevent Fraud (FTPF) is a corporate offence that holds organisations criminally liable if they do not have reasonable measures in place to stop fraud committed by someone acting on their behalf.

Understanding Failure to Prevent Fraud (FTPF) in Financial Services for Managers

In-depth 35 Minutes Failure to Prevent Fraud Managers

Failure to Prevent Fraud (FTPF) is a corporate offence that holds organisations criminally liable if they do not have reasonable measures in place to stop fraud committed by someone acting on their behalf.

SDR and Investment Labels

Microlearning 5 Minutes All staff

Sustainability-related claims in financial products must be clear, transparent and backed by evidence.

ICOBS - General Matters

In-depth 15 Minutes All staff

The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business.

ICOBS - Providing Information and Advising

In-depth 20 Minutes All staff

The Insurance Conduct of Business Sourcebook (ICOBS) for Providing Information and Advising applies to insurance intermediaries.

Car Finance Mis-selling

Microlearning 5 Minutes All staff

The Financial Conduct Authority banned discretionary commission arrangements in car finance due to concerns about unfair interest rates.

Developing Secure Applications

In-depth 45 Minutes All staff

The way companies build software and technology systems is evolving very rapidly.

Conduct Rule 1: Act with Integrity

Microlearning 5 Minutes All staff

Integrity is a fundamental principle in financial services, ensuring ethical conduct and maintaining customer trust.

Conduct Rule 2: Act with due skill, care and diligence

Microlearning 5 Minutes All staff

People working in financial services must act with due skill, care and diligence, ensuring their actions do not harm customers or the financial system.

Conduct Rule 3: Be open and cooperative with the FCA, the PRA and other regulators

Microlearning 5 Minutes All staff

Financial services firms and employees must be open and cooperative with regulators, including the Financial Conduct Authority and the Prudential Regulation Authority.

Conduct Rule 4: Pay due regard to the interests of customers and treat them fairly

Microlearning 5 Minutes All staff

Financial services professionals must always act in the best interests of customers and ensure they are treated fairly.

Conduct Rule 5: Observe proper standards of market conduct

Microlearning 5 Minutes All staff

Financial markets rely on trust, integrity and adherence to established rules and ethical behaviour.

Conduct Rule 6: Act to deliver good outcomes for retail customers

Microlearning 5 Minutes All staff

Financial services professionals must act in good faith, prevent foreseeable harm and support customers in achieving their financial objectives.

BCOBS - Distance Communications [Mutual]

In-depth 15 Minutes All staff

The Banking Conduct of Business Sourcebook (BCOBS) applies to all firms accepting deposits from banking customers in the UK.

BCOBS - General Standards [Mutual]

In-depth 25 Minutes All staff

The FCA Banking Conduct of Business Sourcebook (BCOBS) applies to all firms that accept deposits from banking customers in the UK.

ICOBS - Cancellation and Claims [Mutual]

In-depth 15 Minutes All staff

The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses.

ICOBS - Distance Communications [Mutual]

In-depth 15 Minutes All staff

The Insurance Conduct of Business Sourcebook (ICOBS) for distance communications applies to all insurance firms that engage in distance marketing activity in the UK.

ICOBS - General Matters [Mutual]

In-depth 15 Minutes All staff

The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business.

Payment Services Regulations [Mutual]

In-depth 25 Minutes All staff

The Payment Services Regulations (PSRs) 2017 was introduced in 2018 and set the Payment Services Directive 2 (PSD2) in motion.

Principles for Businesses [Mutual]

In-depth 20 Minutes All staff

The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.

Treating Customers Fairly [Mutual]

In-depth 40 Minutes All staff

Treating Customers Fairly (TCF) applies to firms in the financial services industry.

ICOBS - Providing Information and Advising [Mutual]

In-depth 20 Minutes All staff

The Insurance Conduct of Business Sourcebook (ICOBS) for Providing Information and Advising applies to insurance intermediaries.

Financial Crime Prevention

In-depth 25 Minutes All staff

Financial crime ranges from fraud, tax evasion, bribery, market abuse, insider dealing, money-laundering, to terrorist financing.

Conduct Risk

In-depth 50 Minutes All staff

The FCA focuses on good customer outcomes and how a firm achieves this through staff conduct at all levels of the business.

Senior Management Arrangements Systems and Controls [Mutual]

In-depth 25 Minutes All staff

The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms.

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