Ensure you can answer the regulator's questions about culture and governance arrangements in your firm by attending this interactive training day.
With the new and more intrusive regulatory model, directors, non-executives and approved persons will need to answer more questions about how they manage their firm’s culture.
This course provides practical, hands-on insights into how firms can respond to the regulator's concerns in a manner that simultaneously supports the commercial needs of the business.
Charles Meade-King is a solicitor and compliance professional with over 25 years experience in the financial services industry, including roles at board and senior executive level for a life company, bancassurer and a national IFA. Charles has also advised numerous businesses on Financial Services Authority regulatory issues and developments, and how to modify and adapt their strategy and procedures accordingly.
He has many years of practical compliance and regulatory experience and Charles can turn this in to helpful, constructive messages for industry practitioners and has successfully presented at a range of industry seminars on regulatory matters in both the UK and abroad.
Charles is member of the Law Society, a Member of the Chartered Institute for Securities & Investment and a Director and Council Member of the Association of Professional Compliance Consultants.
Demonstrating Compliance Culture & Governance in Financial Services Training Course
Introduction to the course
Regulatory update: the new structure and the impact on governance and culture
Defining culture in a regulatory context: outlining expectations
Meeting regulator expectations with compliance governance
Interactive case study: Avoiding costly shortcomings in compliance governance
In this session, attendees will be presented with a compliance governance case study, highlighting the areas where a firm has fallen short of the regulator's expectations. This will be followed by an interactive discussion on the key takeaways and how to avoid these pitfalls and overcome the challenges of achieving best practice in your own business.
Achieving a compliance culture: processes and practical steps
Demonstrating your compliance culture to the regulator
Interactive case study: Culture in practice: identifying and addressing areas for improvement
In this session, delegates will be presented with a culture case study and will be given the opportunity to identify the negative and positive aspects of a firm's compliance culture, before an interactive discussion to draw out the actions required to address the shortcomings. Areas for discussion include:
Summary and conclusions
Close of course
Better Regulation is a unique resource. Providing a complete compliance solution and 'one-stop' reference for all the statutory, regulatory and compliance material needed to compliantly manage your business – domestic and European.
Areas covered include: Financial Services Law & Regulation, European Law, Company Law, Pensions Law, Tax Law, Accounting, Actuarial guidance, Anti-Money Laundering.
For a demonstration and Free Trial of Better Regulation contact Suzanne Charles:
T: +44 (0) 207 665 6639
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