So, if you are considering becoming an Annex 1 registered firm, or if you are already registered as an Annex 1 firm and want to better understand what this entails, this webinar will be of interest to you. Similarly, if you do not know whether you should be FCA registered then this event is a must attend, to ensure that you are not knowingly acting illegally.
Hear from our Subject Matter Experts with first hand insight of the FCA's supervisory approach for Financial Crime and to understand how we have been supporting our Annex 1 clients.
Why join this webinar?
With the FCA taking an enhanced approach towards financial crime prevention and firm's Systems & Controls in this area, the focus is on Annex 1 firms. So, if you are considering becoming an Annex 1 registered firm, or if you are already registered as an Annex 1 firm and want to better understand what that entails, this webinar will be of interest to you. Similarly, if you do not know whether you should be FCA registered then this event is a must attend.
The registration process has become more stringent and the FCAs supervisory engagement has become more targeted, intrusive, and assertive. The FCA's feedback about Annex 1 firms highlighted some areas of concern. We take the opportunity to answer the question 'what is expected and where do Annex 1 firms fall short?' so that it provides a clear path for prospective and currently registered Annex 1 firms to ensure they remain compliant.
Don't miss this opportunity to learn more about the FCAs expectations with regard to registering with the FCA as an Annex 1 firm and ensuring compliance once you have become an Annex 1 firm.
If you have any questions you would like covered in the webinar, please do reach out to Craig Broom on the contact details below, or contact Andrew Jacobs directly.