FCA Update - September 2019
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Most mortgage, general insurance, stock broking and IFA type entities are regulated by the FCA. This course is designed to introduce delegates to the FCA regime and to ensure that they have the compliance procedures and knowledge to comply fully with the rules and undertake audit and accounts work effectively.
- The key rules of the FSMA 2000 and FCA
- The FCA web site
- Permanent information
- Engagement and representation letters
- Client monies and assets
- Audit exempt work
- Risk and common errors
- Audit procedures for planning, fieldwork and completion stages
- Case studies will form part of the course
Who should attend? Anyone who has clients who are regulated by the FCA and wants to get a thorough understanding of the rules and accounts/audit requirements.