11 Nov 2020Ended

Financial Crime Controls During and After Lockdown The FCAs Expectations


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11 Nov 2020


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You can use the search function to find a range of UK Finance material, from consultation responses to thought leadership to blogs, or to find .. Read more content on a range of topics from Brexit to commercial finance. The Financial Conduct Authority (FCA), in its 6 May 2020 statement regarding financial crime systems and controls during the coronavirus situation, recognised the operational challenges faced by firms but made clear that fundamental requirements in the FCA’s Principles and rules and under the Money Laundering Regulations must still be met at all times. Firms and their Senior Managers have had to make difficult decisions balancing the need to flex their processes to accommodate customers during the COVID 19 disruption while still meeting the fundamental regulatory requirements. This webinar discusses the areas where firms have needed to amend their controls and processes and how firms and their Senior Managers can mitigate the risk that, applying hindsight, the FCA (or other relevant regulators) could disagree with the decisions made by firms in a post-lockdown review. TLT is a leading national law firm and provider of specialist advice to the financial services sector for over 20 years. Our team is comprised of leaders in their fields operating from offices in Northern Ireland, Scotland and England & Wales. In 2018 and 2019 we won 'Best Law Firm' (Mortgage Finance Gazette).

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