Principles for Businesses (PRIN) - A 30 Minute Guide for FCA Authorised Firms

Introduction

The FCA Principles for Businesses are extremely important.

They are the foundation of the FCA's regulatory framework and set the fundamental standards of conduct that all FCA-authorised firms must adhere to.

Breaches of Principles lead to enforcement action.

The Principles are hugely relevant in the following areas, which you may recognise as critical to the success of any financial services firm:

• Protecting Consumers
• Maintaining Market Integrity
• Building Trust
• Avoiding Regulatory Action
• Fostering a Positive Culture

In essence, the FCA Principles for Businesses are not just a regulatory requirement; they are a fundamental part of doing business in the UK financial services industry.

They are essential for protecting consumers, maintaining market integrity, building trust, and fostering a positive culture within firms.

This short webinar is suitable for compliance professionals, legal counsel and risk managers across all sectors of financial services.

The Principles exist in the UK financial services regulatory environment, however they share parallels with many other jurisdictional approaches.

What You Will Learn

The webinar will cover the following:

• Why does the regulator have Principles as well as Rules?
• What do the Principles mean in practice?
• What changed with the recent introduction of Principle 12?
• How can I practically apply and embed the Principles in my firm?

This pre-recorded webinar will be available to view from Friday 15th August 2025

Alternatively, you can gain access to this webinar and 1,700+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.