Corporate governance – a financial services perspective

Corporate governance – a financial services perspective – overview

A one-day workshop for directors of businesses in the financial services sector who want to benchmark their current policies and procedures against the expectations of the Financial Conduct Authority. The purpose of the workshop is to ensure that all the participants are able to prepare effective and credible business strategies by considering:

  • The emphasis the FCA place on governing bodies setting ‘culture’
  • The specific requirements of the FCA Handbook
  • The balance between commercial expectations and treating clients fairly

While there are rules to be aware of the emphasis is on application – participants will consider examples and case studies in arriving at some key take-away points that will enable them to make a difference. The workshop is practical and pragmatic, with worked examples and a case study. It is equally appropriate to private and quoted companies in financial services.

Full details below or download course outline.

Learning objectives

This course will help participants to understand:

  • The framework of UK financial regulation as it applies to governing bodies
  • The factors involved in setting a company’s culture
  • How their own actions and decisions can either expose or protect the governing body in relation to its obligations
  • Some techniques for making and communicating business strategy
  • The record-keeping required to evidence how corporate governance is affecting a company’s key objectives
Who should attend?

This workshop is intended for directors within financial services companies who are responsible for, or are involved in, setting the strategy for the business or a significant part of it.

Course format

This is a practical and pragmatic one-day workshop employing a mixture of formal presentations and workshop exercises to ensure a balance between theory and application.

An alternative version could be used as part of a strategy away-day: less on financial regulation and more around specific issues the Board have identified.

Special feature

This workshop can be adapted to reflect your current internal strategic decision-making processes, whether to ensure their compliance with FCA expectations or to offer an opportunity to review and improve them.

Expert trainer

Vince is a director of a compliance consultancy and also a trainer with over thirty years’ experience gained in a wide range of financial services organisations. Initially in sales roles, he moved to training in the 90s and added compliance to his role in 2000. He set up his own business in 2013 to provide support to financial sector firms looking to meet FCA requirements.
He has a wide range of qualifications including an MSc in Financial Regulation and Compliance Management from London Metropolitan University, the advanced financial planning certificate from the Chartered Insurance Institute and the Investment Advice Diploma from the Chartered Institute of Savings and Investment.