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Preparing for the New Regulatory Regime for Financial Services

Dates available on application
TBA.
London, UK.
Training & Workshops, Compliance, Risk, Regulation
Audit, Tax & Accountancy, Clearing Houses, Outsourcing, Banking, Consumer Credit, Energy Market Participants, Gaming, General Insurance, Investor Relations, Legal, Life Assurance, Mortgage & Home Finance, Pensions, Securities & Investment, Wealth Management

If you are interested in booking this course, or if you have any questions, please call call us on 01908 488170.

BOOK NOW

This programme can also be adapted and delivered in-house. For more information please call 020 3170 5779 oremail enquiries@ctp.uk.com.


Briefing Outline & Objectives

The coming months will see a recasting of the framework for financial services regulation, at domestic, EU and global level, with significant implications for regulated firms and their Boards.

This timely briefing has been designed specifically for executive and non-executive directors, Significant Influence Function holders and senior Compliance and Business managers, to keep up to date with the changing shape of regulation, assess the potential impacts on business operations and help them consider what practical steps they can take to manage these changes.

The content wiill be fully updated to reflect the very latest regulaotry developments and intelligence.

Attending this event will enable you to:

  • Identify key regulatory developments at global and EU level and how these affect UK firms
  • Examine the scope, powers and priorities of the new UK Regulators and the key changes from the current regime
  • Think through the strategic implications for your business
  • Consider your options for managing these changes
  • Highlight key risks and actions points for your firm 


Who will benefit

This focused 2 hour briefing has been designed as a CPD event for executive directors, non-executive directors and Significant Influence Function holders in FSA regulated firms. It will also provide valuable insights to senior Compliance and Business management.  


Your Speaker: Charles Meade-King

Charles is a solicitor and compliance professional with over 20 years experience in the financial services industry, including roles at board and senior level for a life company a bancassurer and a national advisory firm. . He has recruited and established three compliance teams as well as T&C and training functions and successfully led many supervisory visits. As a consultant he has developed considerable expertise in helping boards to adopt the right governance frameworks and risk management approaches. He has advised many firms on the impact of the rules and guidance, helping them to adopt effective systems and controls. 


The Agenda

1. Introduction: Why regulatory risk is on the radar 

•    The response of regulators worldwide to the crisis
•    Common aims but different priorities
•    Focus on the business leaders


2. The EU regulatory landscape

•    The objectives and powers of the three new European Supervisory Authorities (ESA's) regulators
•    How they develop legislation and how they can be influenced
•    Powers in relation to EU based firms
•    The EU agenda going forward


4. The UK picture - risks and rewards

• Twin Peaks – how will this work 
• The new UK regulators' proposed objectives and powers 
• Interface between the UK and EU 
• Risks and rewards for UK firms from the new framework 
• What will replace ARROW 
• Focus on Approved Persons who are holding Significant Influence Functions and Corporate Governance 
• The supervisory approach of the new Regulators 
• FCA risk categorisation approach 
• TCF and Culture – best practice 
• Preparing for the new regulatory world

 

Price available upon application
2 Hours
Corporate Training Partnerships
499 Silbury Boulevard, Milton Keynes, Buckinghamshire, MK9 2AH

Email: suzanneash@ctp.uk.com
Tel: +44 (0) 1908 488170
Contact: Suzanne Ash