FCA Compliance - A Guide to Board Meetings & Governance

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

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.