Regulatory Reporting and Compliance

Ensuring compliance with regulations and reporting requirements is essential for businesses to operate legally and ethically. Regulatory reporting involves the submission of accurate and timely information to regulatory authorities, demonstrating adherence to laws and guidelines. Compliance with regulations helps to protect consumers, investors, and the overall integrity of the market.

Our two-hour course, priced at only £250, is designed to enhance your understanding of how the Financial Conduct Authority (FCA) and PRA- Prudential Regulatory Authority evaluates the filing and accuracy of regulatory reports.
Topics covered include liquidity, capitalization, financials, IT performance, IT security reporting, risk reporting, operational resilience, complaints return, fraud, payments, conduct, SMF applications, variation of permission and various other related matters.

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R

ReTRRAC

There are two main types of regulatory reporting that we specialise in training for:
Reg Data regulatory reporting: This type of reporting is mandatory for all FCA-regulated firms and encompasses financial information, prudential requirements, and other regulatory compliance matters.
Non-Financial periodic compliance Reg Data returns: Also required for all FCA-regulated firms, this reporting focuses on periodic attestations related to a firm's structure and control, complaints, conduct rules, and general compliance matters.
PRA-Connect reporting relating to conduct, SMF- Senior Management Functions and various related SMCR – Senior Manager’s Certified Regime.

Regulatory Reporting and Compliance

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Regulatory Reporting and Compliance

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