Data Law Limited
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On completion of this course you will have a greater understanding of the following:
- The importance of compliance with financial services legislation
- Financial services activities
- The roles of the Financial Conduct Authority and the SRA
- The SRA Handbook requirements
- Financial services and the firm’s compliance regime
What is the target audience?
Although you and your firm may offer a variety of financial services to your clients, do you understand and more importantly are you complying with Financial Conduct Authority guidelines?
The financial service industry is subject to stringent regulation by the Financial Conduct Authority (FCA). If your firm specialises in conveyancing, personal injury, litigation or private client, it is likely that you offer financial services to your clients, however it is highly unlikely that you are directly regulated or authorised by the FCA to do so.
In order to continue to provide financial services without risk of breaching FCA legislation, it is vital that you understand the Financial Services and Markets Act 2000 and related secondary legislation, as it applies to your business.
Aimed at COLP's and anyone with compliance and risk management responsibilities and solicitors who engage in financial services activities, this webinar will provide you with an understanding of SRA requirements, prohibitions and restrictions.
Experienced lecturer and former SRA and Law Society advisor Tracey Calvert will discuss the SRA Handbook requirements and why financial services compliance must form part of your firm’s risk management and compliance strategy.
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