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Supervision Interventions: A guide to managing – in association with CMS Law

March 3 @ 8:00 am - 9:00 am

WEBINAR

“Market integrity and consumer confidence is stronger when misconduct is identified and dealt with quickly and fairly through legal processes” FCA: Our Approach to Enforcement 

The enforcement powers of the Financial Conduct Authority (FCA) include criminal, civil and regulatory actions against firms and indviduals to protect consumers, including but not limited to withdrawing a firm’s authorisation, prohibiting individuals from carrying on regulated activities, suspending firms and individuals from undertaking regulated activities, fines for breaching rules and/or commiting market abuse.  Where the FCA suspects serious misconduct and potential ‘harm’ to consumers, it may seek to use VREQ and/or OREQ enforcement powers. VREQs – Voluntary Requirements Notices – are often a pre-cursor to a Skilled Persons Review; OIREQs – Own Initiative Requirements Notices are imposed typically on firms that refuse to accept a VREQ.

Join our webinar to hear from specialist legal firm CMS Law on best practice in managing VREQ/OIREQ supervisory interventions.

To join this event, register below.

Registrations are now closed for this event - contact events@thebrokerclub.org for more information

Details

Date:
March 3
Time:
8:00 am - 9:00 am

Venue

Virtual Event
United Kingdom

Organiser

The Broker Club
Phone:
07990 561288
Email:
events@thebrokerclub.org

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