Corporate Governance in Financial Services - Principles, Practice, & Legal Foundations

Introduction

In today’s fast-changing financial services landscape, effective corporate governance is the cornerstone of trust, stability, and long-term success. Yet, many boards and advisers struggle to navigate the growing complexity of governance regulations and expectations.

This live broadcast session is designed to equip CF and SMF directors and general counsel within financial services firms with a practical understanding of corporate governance as it applies to financial service firms. You will gain insights into the legal foundations of governance, explore how frameworks have evolved through the UK’s Corporate Governance Codes and Senior Managers Regime (SMCR) and understand the real-world consequences of weak governance structures.

This live and interactive session will help you to take the next step toward building a safer, more efficient and compliant governance environment within your FCA regulated firm.

What You Will Learn

This live and interactive session will cover the following:

• Corporate governance in practice for FCA-regulated firms
• Where corporate governance is anchored in law - development of corporate governance law and regulations, including developments of the Corporate Governance Codes and current developments of the Senior Managers Regime in the UK
• The key risks of a missing Corporate Governance Framework
• The key topics of corporate governance:
• Responsibility of the Board
• Suitability of the Board
• Senior Managers
• Delegation
• Proper decision making
• Conflicts of interest
• Know your structure
• How to implement a Corporate Governance Framework

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.