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The FCA has placed 'conduct risk', and product development and governance issues in particular, at the heart of its focus and activity as a regulator and is determined to take a proactive and interventionist approach. Accordingly, it is particularly important firms can provide evidence of appropriate control over the product development process and so avoid the possibility of the regulator using its new powers of intervention.
On top of this, MiFID II enshrined the same product development regime into European Law in early 2018 and this is a theme that regulators worldwide now have firmly on their agenda.
This practical course is designed to help those responsible for product management and compliance in financial institutions make sure their product development and ongoing oversight framework and procedures meet FCA requirements in this critical area of conduct risk.
Specifically, attending will help you:
This focused course will benefit anyone with Product Development, Governance, Oversight or Compliance responsibilities in a FCA regulated firm.
Adam is a compliance specialist and lawyer who has spent much of the last 20 years advising firms from major banks to small one-man firms on conduct related issues. Qualified as a lawyer on both sides of the Atlantic and proud holder of an AFPC and CISI compliance diploma, Adam wrote the only major book on financial services complaint handling in 2005. His expert evidence on investment risk and compliance has been accepted by the English High Court and the Gibraltar Supreme Court.