Course Code

  • GG


  • City of London

CPD Credits

  • 2
Download PDF Get this course in-house

Or call 0203 178 4230 or email today.

Course Overview

A seat on the board is not always a comfortable one. You have to hold management to account and make sure you’re meeting regulatory requirements, all while creating a performance culture that doesn’t encouraging excessive risk-taking.

You’ll also need to translate a governance framework into day-to-day operations, ensuring your people know how to ethically apply principles and policies.

Put simply, good governance is not easy work. But the more ingrained the system, the more likely you’ll avoid regulatory mishaps and costly penalties.

The question is: is your governance structure robust enough? Join us to gain insight into the regulator’s expectations and pinpoint the responsibilities of individual board members, helping to keep your firm on the path of ethical and compliant profits.

  • Understand governance standards and the principles that drive them
  • Consider the requirements for PLCs and how to reflect them ‘proportionately’
  • Determine whether you board/committees have the right structure
  • Review your terms of reference
  • Recognise the responsibilities of each board member
  • Learn how to handle the appointment process or sudden departures

Define the direction of your organisation

Get a governance health check – It can be difficult to take an objective view of the inner workings of your organisation. With this course you’ll take a step back so you can review your governance standards more honestly, identifying any weak spots that could leave you exposed.

Plan for the unexpected – Empty seats at the table and unanticipated departures can disrupt the effectiveness of any board. Introduce a watertight appointment process that helps you to quickly identify the best candidate, so you can focus on the oversight of your firm.

Make better decisions – Combine your board’s sound judgement with high-quality documentation, honest debate and external expert opinion and you’re certain to improve decision-making (which is much more science than art).

Evaluate your performance – You need to monitor the performance of the board. Honest, transparent and on-going feedback will highlight strengths and identify areas to improve. And striving for better board performance benefits your entire business.

The Course Agenda

Latest updates and key initiative affecting Boards

  • Basic expectations of governance in financial services firms i.e. what is good governance
  • Background and developments since 2008
  • High level requirements and how SYSC requirements fit within this
  • Requirements of SYSC
  • Company Law and Accountancy changes (FRC, equality and diversity requirements)
  • Organising the Board
  • “Proportionality” and how to ensure the right configuration for your firm

Revising Governance structures

  • Changes being implemented by SMR and the Certification Regime
  • What are the new requirements of Senior Managers
  • Lessons learnt from previous experience i.e. those already captured by SMR
  • Move from APER to CR and the possible impact on the firm
  • What has to be put in place
  • Prescribed responsibilities
  • Governance mapping
  • T&C requirements
  • Who is expected to lead the SMR project
  • What are reasonable steps

The Board as a leadership team

  • The role of the Chairman
  • The expectations of Non-Executive Directors
  • The expectations of Executive Directors

Techniques for ensuring continuity

  • Succession Planning
  • Tenure of Non-Executives
  • Key elements of an appointment process now and going forward (PRA and FCA)
  • Handling surprise departures
Download PDF Get this course in-house

Or call 0203 178 4230 or email today.

Meet The Tutor

Julia Kirkland

Senior Partner

Julia Kirkland is the Senior Partner of FSTP and has worked in regulation, as a senior manager with a large asset management group and in the private wealth sectors of financial services.

As a consultant to the industry Julia specialises in how the regulatory standards impact on the performance of businesses. The leadership team and those who interface with clients are her main areas of focus.

Working with Boards, she has assisted groups to resolve real difficulties between their preferred style of operation and what the regulator requires. She writes articles and speaks on the topic of Governance and her interactive style with intelligent challenge makes for a worthwhile experience for delegates.

Who is this course for?

Who’s this course for?

  • Executives / Non-executives
  • Senior managers
  • Heads of function

Training that makes a difference

Experienced engaging trainers

With first hand industry knowledge and an intimate understanding of the regulatory environment, we always guide you with an expert (and friendly) hand.

Packed with relevant information

We know you’re busy, so we’re careful not to waste a minute of your time. Our training courses are fast paced, insightful and filled with valuable information.

Get personalised attention

Sessions are practical workshops not PowerPoint lectures. All courses are limited to no more than 14 attendees, so we’re able to explain concepts in the context of your business.

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