Board CPD - Future of Regulation

Course Code:	REG 1110
Dates:	On a date of your choice
Venue:	City of London
Course Fees:	Available on application
CPD Credits:	2 hours

This programme can also be adapted and delivered in-house. For more information please call 020 3170 5779 or email jayneowen@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 executives and non-executives in Significant Influence Functions, to bring them right 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.

Attending this event will enable you to:

Recognise the impact of the new global regulatory approach
Understand the new powers and scope of the European financial regulators
Consider the remit and powers of the new UK regulators in the context of Europe
Think through the strategic implications for business
Consider what options firms have to manage these changes
Take away key actions to take now and what to consider for the future

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: Peter Wood-Goss

Peter Wood-Goss has a substantial track record of creating and leading Compliance and Risk functions for major financial services organisations and delivering compliance assurance at Board and Director level. His finance and commercial background, combined with his extensive regulatory and wider risk experience, enable Peter to empathise with the many challenges facing senior management and Boards in FSA regulated firms and the need to satisfy both regulatory and commercial objectives. It also enables him to inform his coaching and consultancy work with relevant and practical examples from corporate life and, with his first hand experience of regulation and supervisory visits, provide real and current insights into the FSA’s approach and priorities.

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 global picture

•    Interconnected international industry
•    The role of the Financial Stability Board (FSB)
•    Global risk outlook and areas of focus?

3. 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

•    The new UK regulators' objectives and powers: PRA,FCA
•    Interface between the UK and EU
•    Risks and rewards for UK firms from the new framework
•    The opportunities to influence the regulatory approach
•    Pro's and cons of getting involved

Booking

If you are interested in booking this course, or if you have any questions, please call call us on 020 3170 5779.

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““The review of our T&C scheme carried out by CTP really tested our controls and showed us how to make the approach more efficient in a practical and business focused context.”
- Liz Cameron, Head of Direct Sales Compliance, Scottish Widows
“Very timely, excellent content, covered a lot in a short time.”
- by Nicky Christofides, Head of Compliance at GE Money
“CTP provided us with a versatile range of training services from e based testing to technical modules and skills training for our advisers and sales management. They work quickly to satisfy deadlines and think creatively to achieve sustainable results. ”
- Ian Lockhart, Sales Operations Director, Scottish Widows
“I would recommend this event on Understanding Insurance Accounting to anyone new to the insurance industry whether or not they are proficient in financial accountancy. ”
- David Statham, Group Internal Auditor, IGI Insurance
“Role play situations really helped to put the theory of the course into an understandable context that I could relate to.”
- Countrywide
“An excellent industry focused overview of the subject pitched at the right level for all attending. We took value from the day as a team.”
- Barclays Insurance Services Ltd
“Good structure, content and pace of learning”
- Group Compliance Manager, Clarke Roxburgh
“An excellent all round briefing with detail and in depth exploration where necessitated”
- Tim Sierwald, Audit Manager, Assurant Solutions
“The session really made me think about the how to apply the theory of Risk Based Management. Lots of great thought provokers and break out sessions were extremely useful. ”
- Anna Mansbridge, Business Quality Technician, Allianz Cornhill
“We commissioned CTP to undertake a competency review. They listened well, spoke our language, took time to understand our needs and provided a workable solution in a cost effective manner.”
- John Moffatt, Compliance Director, Riverstone
“Pitched at appropriate level with good mix of tell and activity based learning”
- Legal & General
“A difficult subject communicated effectively and in a relaxed manner. Thank you.”
- S J Fisher, Managing Director, Colemans
“CTP have a thorough understanding of the "regulation" … but more importantly the ability to … translate it into company process efficiently and with the minimum of fuss.”
- John Constable, Head of People Development, JLT Risk Solutions Ltd
“A very succinct and highly knowledgeable explanation and presentation of the subject”
- Duncan Howorth, Managing Director, JLT
“CTP very quickly got to grips with our requirements and tailored the course to meet our needs. We had a fantastic dialogue going with our management group. ”
- MD, Assurant Solutions
“CTP's training gave me a vital opportunity to consider the Arrow 2 process and has given me a head start in preparing for this important business event ”
- Simon McCulloch, Business Development Director, Countrywide
“The trainer had superb knowledge of our company, our industry, the regulator and communicated in 'plain English'. There was no jargon. An excellent day! ”
- Ceara Joyce, Head of Risk with Profits, Legal and General
“I found this event of great benefit. Trainer is fantastic. One of, if not the, best courses I have ever been on. Thank you so much.”
- Rensburg Sheppards
“This was fantastic - I would not hesitate to go on another of these courses in the future. Thoroughly recommended. Very good -knowledgeable & approachable”
- Harsa Charman, Liverpool Victoria
“Excellent course, useful practical tools given”
- Co-operative Bank
“Essential event for anyone attending an FSA ARROW visit meeting”
- James Cooper, Financial Controller, Locktons
“Very knowledgeable course leader who used his practical experience well.”
- By Derek Wood, Compliance Manager at Skandia UK
“Useful consideration of the compliance function in the round. Some good reminders and food for thought to help benchmark where our complaince function is.”
- By David Lingwood, Group Compliance Officer, IGI Insurance Co Ltd
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- Karen Martin, HR and Communications Director, Britannic Assurance
“I would strongly urge senior managers in the insurance industry to attend this course which really prepares you for FSA interviews.”
- Paul Williams, regional Managing Director, Folgate (Towergate)

Corporate Training Partnerships Ltd, London Office: 60 Lombard Street, London, EC3V 9EA. Tel: 0203 1705779
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