The Boards of financial institutions are under increasing pressure to respond to difficult questions about how they provide oversight over business models, risk-taking, strategy, long-term business sustainability and now the Consumer Duty.
A key challenge for all firms is to provide the Board with the Management Information needed to address key risks to the business and ensure the decisions made are properly informed, transparent and which demonstrate the Board has taken the "reasonable steps" required by the FCA. Board reports and governance are all key for senior managers to show their compliance with the Senior Conduct Rules.
This practical course provides a safe environment in which to assess your approach to board reporting, explore your strengths and areas for development and practise new techniques to bring about immediate improvement.
Attending will help you:
This focused course will be of value to anyone responsible for using, producing, compiling or overseeing board packs and reports. This is likely to include Senior Management Team, Company Secretaries, as well as heads of Risk, Compliance and Audit, and individuals who compile reports for the senior management team.
This course will be delivered via a real time slide sharing and live audio visual platform, accessible by desktop computer, laptop, tablet or smartphone. Class size will be limted to ensure a high quality and interactive learning environment.
Gary Pitts has 30 years of compliance experience in the UK and overseas, including spells as a regulator, international head of compliance in hedge funds and boutique investment banks and as managing partner of a boutique financial services house. A FSA/FCA registered person in Controlled Functions 1, 10 and 11 and SMF 16 and 17 since 2001, he now runs his own governance and regulatory consultancy Tetractys in the UK and Ireland. Gary is a regular trainer and author of technical articles on compliance related topics and sits on the regulatory advisory group of the Journal of Securities Operations and Custody. He brings a combination of compliance and commercial experience, in terms of both practical implementation and Board level oversight, to the training he delivers.
Session | Aim | Content |
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The Role of the Board | The role of the Board is to assess the overall direction and strategy of the business. The Board also assures that an organisation is accountable as required by any laws and regulations. The aim of this session is to explore the various challenges that Boards face and the challenges in making decisions. |
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Building your Board Pack | The Board Pack, the critical source of information, is often criticised as being not being fit for purpose in providing the necessary information to ensure the discussion and decision-making at board meetings are as productive and effective as possible. This session seeks to establish a framework that will support better decision making for the Board. |
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Ensuring Boardroom Effectivess | Ensuring the effectiveness of communication with a broad range of stakeholders can be quite a challenge. There are various forms of communication, written and face-to-face and presenting to the Board. This session aims to support delegates with different types of communication. |
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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.