Course description
This virtual classroom seminar will cover the regulatory obligations on individuals within the financial services sector, the approach of the FCA when enforcing breaches of such obligations and how to conduct an internal disciplinary hearing whilst an FCA investigation is ongoing.
Recent case law and enforcement trends and themes will also be explored.
If you are a financial services lawyer, employment lawyer or working in-house for a financial institution then this session is for you.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
This new virtual classroom seminar will cover the regulatory obligations on individuals within the financial services sector, the approach of the FCA when enforcing breaches of such obligations and how to conduct an internal disciplinary hearing whilst an FCA investigation is ongoing.
If you are a financial services lawyer, employment lawyer or working in-house for a financial institution then this session is for you.
What You Will Learn
This live and interactive course will cover the following:
- What are the current areas of focus for FCA enforcement?
- What obligations are imposed on individuals by the senior managers’ regime?
- Enforcement trends and themes
- Individual accountability and the senior managers’ regime
- Recent case law
Expenses
MBL Seminars Limited
MBL is a leading learning and development provider for professional service firms. Over the past 18 years, more than 198,000 people across 23,000 different organisations spanning 81 countries, have chosen us to deliver their training. With over 800 expert speakers...