1
Type
Speaker
CPD Hours Level
Seminar 6 IntermediateInformation
Accreditation Information
SRA Competency B
'Julie was excellent and delivered a really comprehensive seminar'

Introduction

With the impending Senior Management and Certification Regime, it is vital that firms prepare themselves for the practical, day-to-day changes ahead. The more aligned you can be before the deadline, the easier the transition will be.

This course will be relevant to senior managers and Board level teams of FCA authorised and regulated firms and for those who offer compliance legal support to their clients for financial services.

What You Will Learn

This course will cover the following:

  • FCA rules and expectations of the Boards of FCA Authorised and regulated firms
  • Why the culture of your organisation matters
  • How to ensure that the Board understand their responsibilities in respect of the oversight of compliance
  • What kind of input you should expect from your Non-executive Directors
  • How to plan an appropriate compliance sub-agenda for your Board Meetings
  • How to undertake valuable compliance discussions within a Board meeting
  • How to appropriately minute Board meeting discussions about compliance
  • Common mistakes made by the Boards of FCA authorised and regulated firms
  • Why a positive compliance culture is key
  • What good governance looks like
  • What kind of professional development should Directors and senior management be undertaking

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Seminar | 08.01.2020

Bristol | 9:30am - 5:15pm


Board Meetings & Governance - What the FCA Expects

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Jan
8
2020
Bristol
9:30am - 5:15pm
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Seminar | 24.02.2020

London | 9:30am - 5:15pm


Board Meetings & Governance - What the FCA Expects

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Feb
24
2020
London
9:30am - 5:15pm
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Seminar | 06.05.2020

Glasgow | 9:30am - 5:15pm


Board Meetings & Governance - What the FCA Expects

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May
6
2020
Glasgow
9:30am - 5:15pm
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Seminar | 12.05.2020

Manchester | 9:30am - 5:15pm


Board Meetings & Governance - What the FCA Expects

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May
12
2020
Manchester
9:30am - 5:15pm
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Seminar | 14.05.2020

Southampton | 9:30am - 5:15pm


Board Meetings & Governance - What the FCA Expects

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May
14
2020
Southampton
9:30am - 5:15pm
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Seminar | 30.06.2020

Birmingham | 9:30am - 5:15pm


Board Meetings & Governance - What the FCA Expects

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Jun
30
2020
Birmingham
9:30am - 5:15pm
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Prices (ex VAT)
Smart
Plan Information
£216
Season
Ticket Information
£240
Standard
£480
Group bookings
Discounts are available for multiple places and if you have 5 or more people interested in this course and would like to discuss holding it in your area or on an in-house basis then please email us at information@mblseminars.com
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