UK Financial Services Regulatory Updates Roundup

Regulation of the UK’s financial services industry continues to rapidly evolve, with reforms to the Senior Managers and Certification Regime on the horizon, the new Failure to Prevent Fraud offence coming into effect, and an expansion of the Financial Conduct Authority’s conduct rules’ scope.

Join us for a webinar where we will break down these developments and outline the practical steps your organisation can take to remain compliant and prepared.

Topics will include:

• First phase reforms to the SMCR proposed by the FCA and Prudential Regulation Authority Transparency Act (2023)
• The Failure to Prevent Fraud offence entering into force as part of the Economic Crime and Corporate Transparency Act (2023)
• FCA updates on non-financial misconduct
• The implications of these developments for financial services organisations
• Practical steps firms can take to ensure compliance with the new requirements

CLE credit: CLE credit in CA, FL, IL, NY*, PA, TX, and VA is currently pending approval. Credit in CT and NJ is pending approval (via reciprocity). CLE credit is not available for the viewing of recorded sessions.

*This program qualifies for Newly Admitted Attorneys.

Those seeking CLE credit in any other state may be provided with a General Certificate of Attendance and may apply independently.