Embedding Good Governance in Financial Services

Outline & Objectives

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:

1. Understand key features of good governance and culture
2. Identify strengths and weaknesses in your firm's current arrangements
3. Familiarise yourself with the FCA's approach to diversity and inclusion
4. Examine strategies for adopting strong governance and culture practices
5. Recognise roles and responsibilities in ensuring governance and culture
6. Be aware of FCA's current and future priorities

Who will benefit?

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.