Professional Training

Emerging Compliance Risks in Investment Banking

FourthLine Learning, In London
2 days
2 days

Course description

Emerging Compliance Risks in Investment Banking

Financial institutions find themselves to be continually exposed to a variety of global compliance and operational risks, all of which are driven by the economic, geopolitical, technological, socio-political and environmental realms in which they operate. These rapidly changing risks must be managed in order to mitigate the threats to a firm’s performance. Having the tools and capabilities to be prepared and respond appropriately to new developments from these evolving and changing dimensions is crucial for all financial services firms.

The impact of the 2007-2010 global financial crisis created a range of systemic attributes that subsequently has led to new regulatory initiatives which global financial service firms are now racing to meet. At the same time, these firms continue to be exposed to new trends and risks that still have to be managed under an enterprise risk management (ERM) framework. This 2 day course is designed to be a deep dive into regulatory changes, the evolving risk landscape in financial services, supplemented with hands on controls and functions to mitigates threats to day to day business activities.

Benefits of attending:

  • Translating regulatory thinking into practical insights and discussion
  • Learn what practical steps you can take to minimise compliance risks
  • Information to help prevent firms failing remediation projects
  • How to help your firm prevent "accidental" regulatory focus

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Suitability - Who should attend?

  • Chief Executive Officers
  • Chief Risk Officers and Heads of Risk
  • Chief Compliance Officers and Heads of Compliance
  • Money Laundering Reporting Officers
  • Compliance Oversight Managers

Outcome / Qualification etc.

Learning outcomes:

  • Explore lessons learnt from the final notices update covering recent incidents of market abuse
  • Review recent regulatory developments such as SM&CR, and consider the importance of post implementation reviews
  • Get an overview of benchmark regulatory developments
  • Review the whistleblowing regime and learn how to get whistleblowing right

Training Course Content

FCA Regulatory Spotlight

  • Explore lessons learnt from the final notices update covering recent incidents of market abuse
  • Review the recent 'Dear CEO' letters issued by the regulator and their impact on the investment banking sector
  • Discussion about the importance of post implementation regulatory reviews.
    • Why they are important
    • What do they provide
    • When and how
  • Overview benchmark regulatory developments.
  • The Brexit impact, and how a No Deal outcome may impact cross boarder activities
    • MiFID passporting rights
    • Reverse inquiry
    • Legal requirements of this complex subject
  • Review of the whistleblowing regime, and the risk of a lack of conformance.
  • Explanation of how to get whistleblowing right.
    • Risks
    • Importance
    • Positive business impact of good whistle blowing
  • Enforcement market update - we will review watchlists, explore regulatory activity, and identify areas of concern within investment banking.
  • Regulatory Risk - how to prioritise
    • What to do if you have a number of regulatory gaps
    • How to identify your gaps
    • What if you don't have a embedded ERF
  • The importance of documentation
    • Board and meeting minutes
    • MI
    • Sufficient information for SMFs to discharge their duties
  • Post Implementation Review - the importance of checking regulatory change projects are operational effective
  • SM&CR

Regulatory Development Risks

  • Horizon scanning and the importance of managing this

Benchmarks - Benchmark regulation

  • E.g. LIBOR

Lessons learnt from final notices in general

  • E.g. market abuse, the importance of post implementation reviews.
  • Cross border activity.
  • The number of people on watch list
  • Watch lists


  • Areas of concerns
  • The number of people on watch


  • FCA Focus
  • Culture and whistleblowing policy and the need to get it right
  • Public disclosure act and how the regulator has interpreted this
  • Case Study