Introduction to FCA Clients - July 2021

Date: 13th July 2021 - Access Recording

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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 comply with the rules and undertake audit and accounts work effectively.

Key Topics

  • 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

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.


2020 Member Included with 2020 Membership
Non-member £149 + VAT