Demonstrating Compliance Culture & Governance in Financial Services

In his first speech since being appointed to head the FCA, Martin Wheatley stressed that culture will be the focal point of his approach in the coming years. As the regulator moves into a more intensive and intrusive regulatory model, it has never been more important for directors, non-executives and approved persons to fully comprehend and actively manage their approach to compliance culture and corporate governance.

This course has been designed to ensure you are up to speed with developments, able to answer the regulator’s questions and concerns, and have the tools and methodologies in place to measure, change and demonstrate the appropriate culture in your organisation.

Attending this practical course will allow you to:

• Fully understand the regulator’s approach to ethics, culture, integrity and values
• Know what the regulator expects of you as an individual and your organisation as a whole
• Assess and benchmark your culture and governance structures
• Identify where your organisation is in relation to regulator expectations and address any issues
• Gain tools and methodologies to define, measure and demonstrate culture, ethics and values
• Understand the responsibilities of approved persons who hold significant influence functions
• Ensure your firm’s corporate governance arrangements and culture are ready to be tested and examined by the regulator