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WHO SHOULD WATCH. 
  • Director
  • Senior Managers
  • Compliance Team
COMPLEXITY. 
  • Intermediate.
DURATION. 
  • 1 hour 13 minutes

UpSkill Insights with Pencarrow.

Course overview.
In 2022, Pencarrow received a formal warning from the Financial Markets Authority for record-keeping breaches, a challenging experience for any business.

We sit down with Philippa Weston who speaks candidly about what it was like to be investigated by the FMA, the events that led to the warning, the cost to the business, and the key lessons they’ve learned.  She reflects on what they wish they had known beforehand and how they’ve strengthened their approach to compliance, offering practical insights to help others avoid similar issues.
LEARNING OUTCOMES. 
  • What it was like being investigated by the FMA.
  • What led to the warning.
  • What the cost was to their business.
  • What they wish they had known beforehand.
  • What their key learnings have been.
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