Visits by the Financial Conduct Authority (the FCA) aren’t as common as they were pre-Covid but they still take place, usually as part of a thematic or sector review. They can be in-person (at a firm’s offices) or take place remotely. They might involve interviews of senior staff (not necessarily SMR senior managers) but there’s […]
Tag Archives: file review
PREPARING FOR A VISIT BY THE FCA
Posted in Articles
Also tagged case review, case run-through, FCA, FCA visit, file run-through
Comments closed