Acting for FCAregulated firms
Training - CPD Courses
Course Summary
| Item | Detail |
|---|---|
| Date | 23 Nov 2023 |
| Location | Online |
| Duration | 9:30 - 12:30 |
| Participants | Qualified staff, including managers and partners, working on FCA-regulated client audits |
| Speaker | Jez Williams |
| Member price | £135 + VAT |
| Non member price | £170 + VAT |
Content of Course
A combined introduction to and refresher on FCA regulation and the audit of FCA regulated firms, including statutory (true and fair) and client assets (CASS) audits.
This course includes the following topics:
- FCA sectors and sources of rules
- Financial resources rules for FCA firms
- Regulatory reporting by firms to the FCA using RegData and Connect
- Which firms do and don't need audit
- Statutory audit issues
- An overview of the CASS regime
- CASS auditing including the FRC CASS Standard
To book on this course click here.
Enquiry
If you would like to make a booking or have any questions about a course, please use the form below or email us, else call us on 020 7213 9911
Purchase a Recording
Prices per viewing are as above, contact us for multiple viewing prices. Please use the form below, email us, or call us on 020 7213 9911 and we will confirm prices and provide a copy of the course.
