Courses: What’s coming up for Senior Management and Board?

Here’s a selection of our upcoming FSTP courses for September and beyond.

Please feel free to get in touch with any questions you may have about these courses or anything else we have coming up. There’s a link to further info and booking below each course summary. These open courses are also available to you as in-house workshops at your convenience.

Culture and Ethics – September 6

This two hour briefing in the City of London will provide you with the tools you need to create a strong ethical culture, and this can only happen when senior management drives the process. When these leaders walk-the-walk they ensure strong ethics permeate throughout the firm, from the boardroom to the shop floor.

The FCA has made it clear that senior management teams will be held to account for failings in company culture. A strong framework will protect your execs by satisfying the regulator’s holistic assessment of corporate culture and conduct risk.

We will help you take a step back and get a true picture of your corporate culture. By understanding different models of business culture, you’ll be able to take a more objective look at your firm and better able to build your own winning culture.

In addition, embedding corporate culture into your commercial strategy will help you achieve better outcomes for your customers, improving their loyalty to your firm.

Booking and further details here.

FSTP, FCA, Regulatory Compliance, CPD, Workshops

 

Director’s Guide to Surviving an FCA/PRA Visit – (course full, but contact us to register interest) September 13

This essential training is packed with value and will keep you prepared for an FCA or PRA visit. For many firms it can be a very stressful time, with senior executives feeling the pressure across all sectors. That’s because the PRA and FCA have focused their attention on the leaders of financial firms.

Handling a regulator’s visit is now more difficult than ever. With expert insight and smart preparation, we can help you make it easier.

Over the two hour briefing we will cover all the areas you need to be competent and up to speed on including:

  • Determine how ready your firm is for a PRA/FCA visit
  • Learn what you can expect from the visit (including actual questions asked)
  • Anticipate who in your firm is most likely to be interviewed
  • Predict what client activities they may want to monitor
  • Understand current hot topics and how they’ll influence your visit
  • Be prepared for any question the regulator throws at you
  • Understand the risk of receiving a s.166 order

Booking and further details here.

 

SIF Roles – Your Senior Management Responsibilities – September 20

Holders of Significant Influence Functions (SIFs) within regulated firms have specific responsibilities. The regulator expects you to know and meet the standards set out in the Principles and Code of Practice for Approved Persons (APER). And they’re taking a far more hands on approach to corporate governance.

Supervision is much more intrusive and rigorous than the past, and the group of people governed by the code has grown significantly. SIF interviews have become more common and more demanding as well. The FCA enforcement actions against approved persons have become more frequent; and sanctions more serious including: fines, suspension of approval, lifetime bans and public naming and shaming.

If you have or are seeking SIF approval, it’s vital you understand the FCA rules, how to prevent breaches and what can happen to you if standards slip. So join us for this two-hour executive briefing, you’ll learn everything you need to know from industry experts.

Booking and further details here.

 

Should you have any questions around our senior management and board courses please do not hesitate to contact us. We can deliver all our training events in house at a time to suit you. This is a popular option for many of the boards we work with, as it allows them to attend the session with minimal time out of the office.

FSTP

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