Course description
Now that we are fully immersed in the new Senior Management and Certification Regime, it is vital that firms prepare themselves for the practical, implications of the new regime.
This live and interactive online course is aimed at senior managers and Board level teams of FCA authorised and regulated firms. It is also suitable for those who offer legal support to their financial services clients.
FCA regulatory expert Julie Ampadu will discuss the FCA rules, along with the expectations of the Boards of FCA authorised and regulated firms. She will also explore why the culture of your organisation matters, and how to ensure that the Board understand their responsibilities. You will learn why a positive compliance culture is key, what good governance looks like, and much more.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
Now that we are fully immersed in the new Senior Management and Certification Regime, it is vital that firms prepare themselves for the practical, implications of the new regime.
This virtual classroom session is aimed at senior managers and Board level teams of FCA authorised and regulated firms and for those who offer legal support to their financial services clients.
What You Will Learn
This live and interactive session 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...