In financial services, the related functions of compliance and conduct risk are still relatively new. Over the last decade or so, legal and regulatory requirements on, and expectations of, financial services firms have reached very high levels.
The senior managers’ regime focuses on individual accountability and the FCA is increasing its investigations. Good culture and effective senior management may well be fundamentals, but strong conduct risk and compliance functions are also key to the success of financial services firms and to the well-being of their customers. Handled properly, they are not barriers to good business but are major drivers of it.
This seminar, in conjunction with Addleshaw Goddard LLP, drills down into risk and compliance functions and examines their practical place in the modern regulatory and risk environments.
Who should attend?
The event will be invaluable to risk and compliance practitioners, and is also likely to be of interest to senior managers, lawyers and others.
Addleshaw Goddard LLP, Leeds
09.30 for a 10.00 start; concluding at approximately 16.00
Members/Associates only: £350 (VAT exempt)
Includes course documentation, refreshments and lunch
To secure your place, please complete the relevant online form.