Handling FCA Inspections Webinar

Length: 45 minutes | Format: Webinar

As part of its drive to become a data-driven regulator, the FCA is changing the way that it supervises regulated firms, including the way that it conducts inspections. They may be even conducted remotely without your firm having any knowledge.

In this webinar, we explain how the FCA will be conducting inspections in the future, and how best to ensure your organisation meets all the requirements.

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Key takeaways...

  • Recognise the different types of FCA visits
  • Understand the FCA inspection visit process
  • Learn what the FCA is looking for during an inspection
  • Find out the answers to the questions everyone is asking

Watch this free training webinar

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Webinar Speakers

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Webinar Host

Samantha Martin-Woodgate
Compliance Evangelist
Skillcast

At Skillcast, Sam focuses on helping our clients maximise their opportunities within online learning. Sam specialises in creating and delivering intelligent learning solutions that uses branching, adaptive content and enhanced analytics.

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Guest Speaker

Katharine Leaman
Managing Director
Leaman Crellin

Katharine Leaman spent 11 years within the FCA then oversaw compliance at two major banks. She now consults on regulatory compliance across market conduct, CASS, SMCR, FX Global Code, Outsourcing, non-financial misconduct, and conduct risk.

Speaker Blogs
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Guest Speaker

Chris White
Strategic Technology Advisor
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Chris White has an in-depth knowledge of legal, PS, FS, investment management and technology sectors. He is an experienced highly commercial CIO who has created sustainable customer and shareholder value through digital transformation.