Ensuring FCA Compliance: A Strategic Approach to Regulatory Training and Support

This presentation provides an in-depth overview of the essential components of FCA regulatory training and compliance services. It highlights the importance of attaining and maintaining competency within financial services roles, with a focus on the key aspects of record-keeping and ongoing compliance monitoring. The presentation also showcases the comprehensive support offered by MEMA Consultants, including tailored consultancy, horizon scanning, and expert advisory services. With a decade of experience and a track record of success, MEMA is dedicated to helping businesses navigate the complexities of FCA regulations and achieve long-term compliance.

1. Introduction to FCA Regulatory Training
Importance of FCA compliance training in ensuring competency in
financial services roles.
Understanding the three key concepts: Attaining Competence,
Maintaining Competence, and Record Keeping.

2. Core Concepts of FCA Training
Importance of accurate record-keeping for compliance and
decision-making.
Ongoing training and assessments to keep skills up to date.
Steps to ensure employees meet the required competency levels
for their roles.

3. Importance of Regulatory Compliance
Tailored solutions for maintaining ongoing compliance, including
documentation and monitoring.
Prevents breaches of FCA rules and ensures the firm operates
within legal boundaries.

4. Comprehensive Compliance
Services
Expert guidance on complex regulatory requirements
and bespoke compliance solutions.
Identifying emerging risks and regulatory changes.
Continuous monitoring and updates to ensure your firm
remains compliant.

5. Why Choose MEMA
Consultants?
Over a decade of experience with a team of ex-
regulators and industry specialists.
Helping hundreds of businesses gain and retain FCA
authorisation since 2019.
Customized solutions to fit the unique needs and
objectives of each client.

6. CONTACT US
[email protected]
03301330811

Suite 1810, Unit 3a,34-35 Hatton Gardens, Holborn, EC1N 8DX
https://www.memaconsultants.com/

7. THANK YOU
VERY MUCH!