2010 ARROW and other FSA visits
Date
22 Sep 2010 - 22 Sep 2010
Location
FLA, Imperial House, Central London
Information
***Are you regulated by the FSA or likely to be in the future? Would you like to know how to be well prepared for ARROW or thematic review visits? If so, this is the course for you.
This course is intended to introduce companies to the concept of regular “ARROW” visits. It is relevant for those who are seeking authorisation, newly authorised, or operating in areas that may become authorised in the future.
It outlines what becoming authorised is likely to involve – and, for the authorised firm, then describes the process of an ARROW visit and what firms need to do to prepare for the experience.
Benefits of attending
Those who attend will gain the following:
- A good overview of what firms will need to do if the scope of regulation is changed, requiring an application for FSA for authorisation.
- An introduction to the world of FSA authorisation.
- An understanding of what an ARROW visit will entail and how to prepare for it.
- An appreciation of how important ARROW and other FSA visits are.
- An oversight of a number of key policy areas in which the FSA is particularly interested, and which firms can expect to be covered in any ARROW visit. These include:
- Controlled functions
- Approved persons
- Liability and responsibility
- Systems and controls
- Corporate governance
- Risk management
- Treating Customers Fairly (TCF)
- Conflicts of interest
- Unfair contract terms
- Fees and charges
- Arrears and possessions policies
- Remuneration policies
- Responsible lending policies
- Remuneration policies
- Responsible lending policies
- (M)PPI
Event fee
FLA MEMBERS: £440.00 + VAT : NON-MEMBERS: £595.00 + VAT
Dress code
SMART CASUAL
Attached documents
