Podcast Location:
Download it here [file size: 37.6 MB]
Categories:
Banking and Financial Services
Fraud, Financial Crime & Anti-Money Laundering
CPD Points:
Up to 1 point. details »

Due to the difference in guidelines between the SRA and the Bar Standards Board, CPD points are awarded differently for Solicitors, Barristers and Legal Executives:

Regulated by the Solicitors Regulation Authority:
Listen and pass the quiz: Gain 1 CPD point (60 minutes)
Listen only, gain ½ a CPD point (30 minutes)

Regulated by the Bar Standards Board:
Listen and pass the quiz: Gain 1 accredited CPD point (60 minutes)

Regulated by ILEX:
Listen and pass the quiz: Gain 1 CPD point (60 minutes)
Listen only, gain ½ a CPD point (30 minutes)

Cost:
  • FREE
Length:
30 minutes of audio
(+ optional 5 minute online quiz)
Plays on Computer:
Yes Downloadable as MP3:    Yes
Contributor(s):
Course Aims:

This podcast is aimed at practitioners working with, or within, asset management firms. It serves as a guide to the recent activities of the FCA and discusses: how the FCA approaches thematic reviews; the purpose they serve; the information gathered; the findings of this particular review; a brief discussion of likely next steps; and some practical points for those working with or within asset management firms.

Outcomes:
After completing the course you will:
  • Understand why the FCA conducts thematic reviews;
  • Be aware of what the thematic review process can involve;
  • Have considered why the FCA conducted a thematic review into asset management firms and what issues they were investigating;
  • Know what the findings of the thematic review and the impact they will have on the industry;
  • Appreciate the role of senior management and the expectations the FCA has of them;
  • Have the capacity to advise asset management firms on what to do next in light of the thematic review.
Level:
General Interest Difficulty: 2 of 5
Classification:
Practical Guide
Sources and References:
Tags:

In this CPDcast Michael Ruck from Pinsent Masons discusses the recent FCA thematic review into asset management firms. The podcast is a general discussion of how the FCA approaches thematic reviews; the purpose they serve; the information gathered; the findings of this particular review; and some practical points for those working with or within asset management firms should take away.

This course (podcast plus test) is accredited with 1 CPD hour for barristers at the Bar of England and Wales.

This course (podcast plus test) is accredited with 1 CPD point (0.5 for the podcast and 0.5 for completion of the test) for solicitors and legal professionals.

Podcast Length: 27.24

Date Recorded: 9th April 2015

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