The Training Environment For Financial Services

Board Effectiveness Review Workshop

 

Course Outline and Objectives
  • Assess governance effectiveness through review and facilitated discussion.
  • Identify how and where there is cross-functional dependence across various board roles.
  • Establish solutions to resolve any gaps or missed oversight.
  • Develop lastest governance best practices in leveraging board information packs.
  • Build development actions that support individual professional development needs.
Key Takeaways:
  1. Critically Analyse Board Effectiveness: Employ frameworks and discussion prompts to throughly assess current governance models and identify areas for improvement.
  2. Navigate Cross-Functional Dynamics: Recognise and map dependencies between board roles, ensuring comprehensive oversight and collaboration across all functions.
  3. Develop Actionable Solutions: Design practical solutions to address identified gaps in governance processes and mitigate potential oversight risks.
  4. Optimise Information Utilisation: Master best practices for creating and leveraging board information packs for informed decision-making and strategic direction.
  5. Craft Customised Development Plans: Formulate targeted actions to support individual professional growth and enhance contribution to effective board governance.
Who will benefit?

This workshop is designed for individuals who play a critical role in ensuring the effectiveness and good governance of boards within regulated financial institutions. It is particularly valuable to Board Members, Company Secretaries and Board Support Professionals, Senior Executives and Leaders, Governance, Risk and Compliance, Human Resources Professionals and Legal Counsel.

 

Course Leader

Lucien Carter

Lucian has extensive experience and a dynamic facilitation style. For the past 24 years, he has served as a director and senior manager in renowned financial services companies like StudyFlex Ltd, Rathbones PLC, Brown Shipley Co Ltd and Skillcast PLC. This experience has equipped him with a deep understanding of the complex interplay between commercial, compliance and risk control within the boardroom.

Lucien is a Fellow of the Chartered Management Institute (FCMI), holding a CISI L4 Investment Advice Diploma (ASCI) and the TA101 programme from the Institute of Transactional Analysis. Additionally, he possesses a BPS Level A&B Psychometric Licence, demonstrating his expertise in understanding and working with different personalities.

Beyond his credentials, Lucien excels at facilitating collaborative discussions and driving meaningful outcomes through his engaging and creative approach. He has a proven ability to build strong relationships and generate stakeholder engagement at all levels, including boards of directors.

Furthermore, Lucien possesses an in-depth knowledge of relevant regulations such as SYSC, SMCR, TC/FIT, COBS, PROD, MiFID II, MAR, CoCON and the new Consumer Duty. This expertise ensures your board operates within a compliant and efficient framework.

Course Programme
Session Content
Introduction
  • Backgrounds
  • Roles
  • Objectives of the session
  • Blind spots illustration (Black Swan)
  • Background and context (key regulatory and other principles relevant to client/sector/market)
Who Does What?
  • Context of regulatory visit, supervisor has asked for: - MRM, Business Model & Individual Statements
  • Facilitated discussion regarding: Any gaps in oversight - anything missing?
  • Cross function / matrix view - handovers and handoff's and/or shared responsibilities (e.g. remuneration, whistleblowing, conduct, LoD, controls, consumer duty, delegation, oversight etc)
Board Reporting - Good Governance
  • How is this demonstrated?
  • Pitfalls
  • What can improve?
  • Board packs & board reporting - the "so what" factor demonstrated through board pack analysis / assessment
Outcomes Based Regulation - Demonstration of example linked to case study
  • What should the board response be any why?
  • Where are the pitfalls / bear traps?
  • What is the question really asking?
Key Takeaways From The Session
  • What will you action to change?
  • How does this go into your own governance structure?
  • Write up notes and summary / CPD

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.

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