Course description
We’ve now passed the implementation date for the SMCR and it is vital that firms turn their attention from implementation to living and breathing it in the Boardroom, focusing on evidencing their governance, oversight and as senior managers.
This in-person seminar will be relevant to senior managers and Board level teams of FCA authorised and regulated firms. Presented by compliance expert Julie Ampadu, the topics covered will include the FCA rules and expectations of the Board, 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 undertake valuable compliance discussions within a Board meeting, common mistakes, what kind of professional development senior management should be undertaking, and much more.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
We’ve now passed the implementation date for the Senior Management and Certification Regime. At this stage, it’s vital that firms turn their attention from implementation of SMCR to living and breathing it in the Boardroom, focusing on evidencing their governance, oversight and as Senior Managers.
This in-person seminar 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
Expenses
MBL Seminars Limited
MBL is a leading learning and development provider for professional service firms. Over the past 18 years, more than 198,000 people across 23,000 different organisations spanning 81 countries, have chosen us to deliver their training. With over 800 expert speakers...