Outsourcing & Financial Services - Avoiding Trouble with the Regulators
Given the recent high-profile problems of firms with regulators due to outsourcing issues, this is an area of growing importance and danger where firms need an understanding of the current provisions and the issues latched upon by regulators when things go wrong.
This live broadcast session will focus on real-life cases where regulators have taken enforcement action and why they have done so. It provides a practical governance checklist of takeaways to avoid falling foul of the regulators.
What You Will Learn
This live and interactive session will cover the following:
- The regulatory provisions that apply to authorised firms in view of the many changes that have taken place over the last few years
- Lessons to be learnt from a condensed review of enforcement action taken by regulators over the past decade in relation to external and intra-group outsourcing
- How to put in place and, importantly, use an internal governance system to avoid regulatory problems with outsourcing
- Seeing the wood from the trees in terms of the particular regulatory provisions typically relied upon by regulators when enforcement action is taken
Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.