Monthly Meeting Documents

Featured

Aug 27, 2025

SMCR Reforms

Aug 27, 2025

Download slides here

Aug 27, 2025

Jul 15, 2025

Market Conduct

Jul 15, 2025

Click here to download presentation

There is no video of this presentation

Jul 15, 2025

Jun 19, 2025

Panel Discussion on Control Room Issues

Jun 19, 2025

Click here to down load presentation

Click here to request video link

Jun 19, 2025

May 22, 2025

FCA's Future Strategy

May 22, 2025

Click here for a copy of the presentation

Click here to request video link

May 22, 2025

Apr 8, 2025

Humanising Compliance Programmes

Apr 8, 2025

There are no slides for this session

Click here to request the video link

Apr 8, 2025

Mar 18, 2025

Compliance Surveillance

Mar 18, 2025

Click here for copy of slides

Click here to request the video link

Mar 18, 2025

Feb 27, 2025

The Reform of UK Capital Markets

Feb 27, 2025

There are no slides for this session.

Click here to request link to the video

Feb 27, 2025

Jan 29, 2025

Future Proofing Compliance - Financial Crime Risk

Jan 29, 2025

There are no slides for this session

Click here to request a link to the video

Jan 29, 2025

Dec 2, 2024

Artificial Intelligence in Financial Services

Dec 2, 2024

Click here to download presentation

Dec 2, 2024

Nov 13, 2024

Speaking Up

Nov 13, 2024

Request Presentation here

Nov 13, 2024

Oct 28, 2024

Private Markets Compliance

Oct 28, 2024

Download presentation here

Oct 28, 2024

Sep 18, 2024

Just Whatsapp me!

Sep 18, 2024

Sep 18, 2024

Aug 21, 2024

Workplace Culture

Aug 21, 2024

Download presentation here

Request video link here

Aug 21, 2024

Jul 17, 2024

Dealing with Difficult Managers

Jul 17, 2024

Download presentation here

Click here to get link to video

Jul 17, 2024

Jun 23, 2024

Market Conduct

Jun 23, 2024

Click here for Notes to Market Conduct meeting

Jun 23, 2024

May 22, 2024

FCA New Approach to Enforcement CP24/2

May 22, 2024

Download presentation here

May 22, 2024

Apr 18, 2024

AI, Ethics and Banking

Apr 18, 2024

Click here to download presentation

Apr 18, 2024

Mar 5, 2024

Suitability and Appropriateness

Mar 5, 2024

Click here to download presentation

Mar 5, 2024

Jan 24, 2024

Investigations

Jan 24, 2024

Download presentation here

Jan 24, 2024

Dec 13, 2023

Edinburgh Reforms

Dec 13, 2023

Download presentation here

Dec 13, 2023

Nov 22, 2023

Financial Crime Update

Nov 22, 2023

Download presentation here

Nov 22, 2023

Sep 7, 2023

Monitoring

Sep 7, 2023

Download presentation here

Sep 7, 2023

Jul 20, 2023

Outsourcing

Jul 20, 2023

There is no presentation for this session

Jul 20, 2023

Jun 21, 2023

ESG Risk

Jun 21, 2023

Download presentation here

Jun 21, 2023

Jun 6, 2023

Communications Surveillance

Jun 6, 2023

Download Notes here

Jun 6, 2023

Apr 27, 2023

The Consumer Duty - making it practical

Apr 27, 2023

Download presentation here

Apr 27, 2023

Mar 22, 2023

SMCR

Mar 22, 2023

Download presentation here

Mar 22, 2023

Feb 22, 2023

Compliances Issues in Wealth and Asset Management

Feb 22, 2023

Download presentation here

Feb 22, 2023

Jan 25, 2023

Non-Financial Misconduct

Jan 25, 2023

Download presentation here

Jan 25, 2023

Dec 14, 2022

Compliance - Looking into 2023

Dec 14, 2022

Download notes here

Dec 14, 2022