This in-depth guide covers:
- An introduction to FCA regulations and their importance for financial firms
- The key responsibilities of compliance practitioners, from owners to chief compliance officers
- Strategies for developing a strong culture of compliance within your organization
- Guidance on implementing FCA checklists for risk assessments, customer due diligence, complaint handling, and more
- Best practices for staying up-to-date on regulatory changes and adapting your compliance programs
- Tips for building strong relationships with regulators and auditors
- Templates and checklists to streamline your compliance processes
Whether you're new to the world of FCA compliance or a seasoned practitioner, this guide provides the practical advice and tools you need to navigate the ever-evolving regulatory landscape. Ensure your organization maintains the highest standards of conduct and avoids costly penalties.
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