Without external support from Neil Young, we would not have completed our accreditation on schedule as the process is more intensive than anticipated. Having external assistance preparing our accreditation provided the ideal challenge ahead of the audit, and as a sense check interpreting the standards. We would have no hesitation in using Neil's services again. 
Steve Orton - FSA Manager, Learning & Community Affairs
How does FSA regulation work?
Objectives
- To understand where the FSA derives power and it’s accountability
- To understand the FSA Handbook and how it is structured
- To understand the High level requirement of firms
- To understand how the FSA approaches supervision
- To understand how the FSA approaches enforcement
Who should attend
Individuals new to the compliance process as well as individuals who need an understanding of regulation within the FS Industry.
Summary of content
- The FSA – it’s powers and it’s accountability
- The FSA Handbook
- The High Level requirement of firms
- Oversight, supervision and enforcement
Duration
2 days
