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2015 Understanding the Approved Person Regime

2015 Understanding the Approved Person Regime - February - Mini web

This course considers the FCA’s Approved Persons Regime, including:

  • When Approved Persons will be required
  • What tasks will be their responsibility
  • Who will be affected
  • Identifying ‘fit and proper’ persons

Case studies are used throughout this course.

Attending this one-day briefing will help attendees understand:

  • The standards that the FCA will apply to all Approved Persons
  • The Statements of Principle and Code of Practice
  • What is meant by “Fitness and Propriety”
  • What the Significant Influence Functions (SIF) are – and SIF interviews
  • How to maintain competence and meet the FCA’s expectations