Approved Persons Workshop

Introduction

The financial services regulatory regime has requirements for licenses not only for firms but for all relevant individuals within them including many non-executive directors. All individuals obtaining such a licence need to be aware of the regulatory and legal risks they face.

Content

When is a licence required and what is the application process for both firms and individuals? What are the requirements for changing the scope of an existing licence? What are the consequences for getting either of these wrong? What should be done when contemplating a job change in the financial services industry?

Who should attend?

  • Those moving into new areas of financial services work
  • Those planning on changing jobs
  • Those taking up a new position in an FCA firm
  • Those setting up a new FCA regulated business
  • New and potential non-executive directors

Speaker

Professor Andrew Haynes BA (Hons) Law, PhD, Cert Ed, FRSA, FSALS

Schedule, Location and Price

  • Location: MPAC Group, 3 Beeston Place, Belgravia, London SW1W 0JJ
  • Price: £250 plus VAT and a 10% discount for more than one person from a single firm.
  • Please Note: Maximum of eight participants per workshop.

All attendees will receive a participation certificate with the workshop date and times, attesting to their participation in the workshop.

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