Acting for FCA Clients

Objectives

Most mortgage, general insurance, stock broking and IFA type entities are regulated by the FCA. This webinar is designed to introduce delegates to the FCA regime and to ensure that they have the compliance procedures and knowledge to understand the rules and undertake audit and accounts work effectively.

Key Topics

• The rules of the FSMA 2000 and FCA
• The FCA web site
• Permanent information
• Client monies and assets
• Audit exempt work
• Risks and common errors
• Audit procedures for planning, fieldwork and completion stages

Who should attend?

Anyone who has clients who are regulated by the FCA and wants to get an overview of the rules and accounts/audit requirements.