In recent years, the FCA has become focused on the governance arrangements and practices of financial services firms and institutions. Through the implementation of SMCR and the discussions related to diversity and inclusion, the regulator has made it clear that it expects individuals and firms to ensure that governance and culture are central to a firm's activities.
This course will focus on moving beyond the implementation of SMCR to embedding good governance practices and fostering strong, positive culture in a firm. Through a series of topics, small group discussions and plenary feedback, this course aims to provide practitioners with the platform and opportunity to discuss with industry colleagues these vital and challenging issues. Having completed this roundtable seminar, individuals will be better equipped to identify strengths and weaknesses in the current governance and culture of their firms and to have strategies to address key areas identified as needing improvement.
Attending this focused half-day course will help attendees to:
This course will be of benefit to anyone involved in, or contributes to, the culture and governance of a firm including Human Resources, Risk and Compliance specialists and Senior Managers. It is also relevant to individuals who are interested in developing their careers and have an eye towards senior management and governance.
Steven Martz is a consultant and training practitioner with over 10 years’ experience in the financial sector. He consults on risk, compliance, operations with a particular focus on implementing change across regulations, systems, and processes. He has held SMF16/17 functions in investment management and authorised fund management firms. In addition, he delivers training in compliance and operations, and is a teaching fellow at the University of Edinburgh where he delivers courses in philosophy. He holds a PhD from the University of Edinburgh.
Session | Content |
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Introduction & Overview |
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Beyond SMCR |
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Embedding Governance & Culture |
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Diversity & Inclusion |
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Small Group Discussion |
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Strategies & Approaches |
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This course can be delivered in-house at a time and location to suit your business and tailored to suit your people and organisation. We can also create bespoke training when something very specific is needed.Please contact us to discuss your requirements in more detail and at no obligation.