PIMFA
Client Asset protection remains a hot topic for both the FCA and the CBI. Both regulators seek to protect consumers from harm whether that’s from firms becoming insolvent or fraudulent activities. And in Ireland, firms must continue to meet their current client asset obligations whilst also preparing for impending changes from CAR 2022.
In this month’s session, we take you for a quick rundown of the follow areas:
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Client asset rules and objectives and how they may apply to you
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What regulators expect
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Client Asset pitfalls and how to avoid them
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How to be audit ready