Wind-Down Planning - A Guide for FCA Authorised & Regulated Firms

Introduction

Wind-down planning can be an enigma for some FCA authorised and regulated firms that may need to consider this route. The FCA have said there remain 'substantial gaps' in many firms’ wind down plans, processes and risk management frameworks.

Now, more than ever, it is time to grasp the key fundamentals of good wind-down planning in order to be able to evidence good governance and to satisfy yourselves that you are in control of your firm’s future, in accordance with FCA requirements and expectations.

This new virtual classroom seminar is geared towards the senior managers of FCA authorised and regulated firms, as well as Certified Compliance Functions, Heads of Compliance and Compliance Managers.

What You Will Learn

This live and interactive session will cover the following:

• Introduction to wind-down planning
• What the FCA tells us
• When should wind-down planning be implemented?
• Getting good governance right
• The steps to take
• The challenges
• Summary

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.