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Booking Form OIL FCA Seminar 8 May 2019 Please book now and no later than 3 May 2019. This event is offered to all CII members at 300 per person (inc. VAT) and to nonmembers at 420 (inc. VAT). Places
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Read the FCA Examination Manual thoroughly to familiarize yourself with the guidelines and requirements.
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It is required for compliance purposes and helps these entities understand and adhere to the regulatory expectations set by the FCA.
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Compliance officers, risk management teams, and senior management within these organizations often utilize the FCA Examination Manual to ensure their operations meet regulatory standards.
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The FCA Examination Manual is a comprehensive guide that outlines the procedures and standards for conducting examinations by the Financial Conduct Authority (FCA) in the UK.
Entities regulated by the FCA, including financial firms and certain businesses that provide financial services, are required to adhere to the FCA Examination Manual.
Filling out the FCA Examination Manual involves following the specific guidelines provided by the FCA, including reporting on compliance with regulations, organizational structure, risk assessment, and control measures.
The purpose of the FCA Examination Manual is to ensure consistency and fairness in the examination process, to monitor compliance with regulatory standards, and to assess the risk management practices of regulated firms.
Information that must be reported includes operational structures, compliance measures, risk assessments, financial records, audit findings, and any issues related to regulatory compliance.
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