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Regulatory Reporting and Compliance

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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.
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Course Takeaways

  • Our comprehensive two-hour course is designed to deepen your understanding of how the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) assess the filing and accuracy of regulatory reports.
£250.00
  • Level
    Intermediate
  • Duration
    2 hours

Course by

RG

What’s inside

  • 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.
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