by Kenneth Underhill | Sep 14, 2022 | Compliance, FCA, ICSR News, Product Governance, Webinars
Kenneth Underhill hosted a webinar in conjunction with the Managing General Agents Association on 22nd September, looking at the implications of the FCA’s latest guidance to distributors of products. A recording of this webinar is now available to watch using...
by Kenneth Underhill | Nov 2, 2021 | Appointed Representatives, Compliance, FCA, ICSR News, Webinars
On 15th November, in conjunction with the Managing General Agents Association, Kenneth Underhill hosted a webinar looking at the current regulatory regime for Appointed Representatives as provided under the Financial Services and Markets Act 2000 (FSMA) and what firms...
by Kenneth Underhill | May 26, 2021 | FCA, Governance, Kenneth Underhill, Operational Resilience, Prudential Regulation Authority, Webinars
Watch the recording as Kenneth Underhill looks at the definitions of ‘Impact Tolerances’ and explores how firms should approach setting these across a multitude of scenarios aligned to their Important Business Services. You can download a copy of the slides here....
by Kenneth Underhill | May 11, 2021 | Authorisations, Brexit, FCA, Prudential Regulation Authority, Temporary Permissions Regime, Webinars
Watch the recording as Kenneth Underhill talks about the process of making authorisation applications to the PRA & FCA. You can download a copy of the slides here. Making Authorisation Applications to the PRA & FCA Date: 11th May 2021Host: Kenneth Underhill...
by Kenneth Underhill | May 5, 2021 | Authorisations, Brexit, FCA, Prudential Regulation Authority, Temporary Permissions Regime, Webinars
Watch the recording as Kenneth Underhill talks about the Regulatory Requirements for Firms in the Temporary Permissions Regime. You can download a copy of the slides here. Regulatory Requirements for Firms in the Temporary Permissions Regime Date: 5th May 2021Host:...
by Kenneth Underhill | Apr 20, 2021 | FCA, Operational Resilience, Prudential Regulation Authority, Webinars
Join us for the fourth of our webinars on Operational Resilience as Kenneth Underhill looks in detail at the respective definitions of ‘Impact Tolerances’ and explores how firms should approach setting these across a multitude of scenarios aligned to their...