How to navigate the FCA Handbook 2021

Thursday 9th March, 2023

5 and 6 May, Online Workshop

Attendee Fees: Non-members: £699 (VAT Exempt), Members: £349 (VAT Exempt)

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COURSE DETAILS

Please note, this course is split into two parts and runs over two consecutive days on 5th and 6th May 2021.

Total duration: 6 hours
Timings: 2 x 3 hour sessions on consecutive days

Part 1: 5th May 9.30 -12.30 (3 hours)
Part 2: 6th May| 9.30 -12.30 (3 hours)

The FCA Handbook is a vast, sprawling and sometimes seemingly impenetrable document. Using a series of worked examples, this course aims to provide delegates with an understanding on how to navigate the FCA Handbook.

Course overview:

Understand how the handbook and its chapters are structured and how to leverage this to solve your problems
How do I know if chapters are relevant to my firm or the issue I have?
Using the glossary and other routes to attack your regulatory problem
Understand the extent and nature of Guidance in the Handbook
How do I know if I have found all the relevant references to my problem?

Agenda

Introduction
Handbook structure
Chapter structure
The role and nature of Guidance
Key strategies for finding your way around
Practical examples – putting the strategies into practice

Trainer

The session will be delivered by Gary Pitts.

Gary has been a compliance professional for over 25 years, having started his career at Lautro and the Personal Investment Authority and including spells at Threadneedle, Henderson (managing the N2 transition), Head of Compliance at hedge fund Brevan Howard and Head of Compliance Europe, Mid-East, Africa and Japan for a boutique investment bank. Since 2013 he has run his own regulatory and training consultancy, Tetractys, with operations in the UK and Ireland. Tetractys focuses the importance of governance as driver of good compliance outcomes. He delivers open and bespoke training course and external Board effectiveness assessments. Gary has a particular interest in cyber security governance and the impact of digitisation on compliance and business processes.

Gary has held controlled/senior manager functions since 2001, has been a director of regulated companies in the UK and South Africa and is also has been a regulated person in Ireland. Gary is a Fellow of the Chartered Management Institute and holds an MBA from the Open University Business School and Masters degrees from Oxford and London Universities.

Other Dates for this event

Can't attend on this date? We are also running this event on these dates:

5th May, 2021

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