The FSA is inviting compliance consultants, who provide services to small regulated firms, to attend one of its interactive Treating Customers Fairly seminars .
The aim of the seminars is to provide a greater practical understanding of what the regulator expects in terms of its TCF principles. Seminars will be interactive and will include plenary sessions and a case study, They are designed to help raise industry standards by complementing the FSA’s enhanced supervisory strategy. Plenary sessions will focus on the work undertaken by FSA supervisors before, during and after the various types of FSA visits and will draw specific references to the enhanced strategy. The case study will focus on a fictional client of a compliance consultancy, and...
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