Overview
In this webinar, Peter Haines and Nigel Sydenham share practical insights, drawing on their extensive experience of working with firms to implement conduct training programmes. By attending this webinar, you will be able to:
- Describe the key changes required by the extension of the Conduct Principles
- Explain the impact of these changes on your firm, including potential challenges
- Apply best practice techniques to communicating the changes to all relevant employees, including the use of a blended approach to learning
Who should attend?
This webinar is intended for Senior Executive Officers, Compliance Officers, MLROs, Heads of HR/People Services and Heads of Finance of firms authorised by the DFSA.
Why should you attend?
The extension of the Conduct Principles to most staff within DFSA Authorised Firms is intended to ensure accountability not only of senior management, but also of staff at all levels in a firm. This webinar will equip you to understand the impact of the changes, and ensure that they are effectively communicated to all relevant employees.
Speaker bios
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Peter has over 35 years’ experience in the field of regulation and compliance. A chartered accountant, Peter spent 6 years working with the UK’s SFA (now the FCA) and has headed up regional and global compliance functions at Paribas, UBS Investment Bank and Bank of America. Since 2006, Peter has specialised in training, focusing on boards, senior management and assisting the next generation of compliance officers. His coverage includes most areas of compliance and financial crime, corporate governance and risk management. His style is inclusive, interactive and based on practicalities, not just rules. As Director of GRC Training, he works closely with our clients to ensure that our programmes are tailored to their exact needs and meet, or surpass, their expectations. |
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Nigel specialises in training boards, senior executives and other staff on the impact of regulation and regulatory change. He is a CFA Charterholder and Chartered Fellow of the CISI, with over 15 years’ industry experience. With a background in compliance in private banking and wealth management, Nigel has a particular interest in effective corporate governance and the management of compliance and regulatory risk. His interests also include issues relating to ESG and climate risk, conduct and culture (including non-financial misconduct), and all aspects of financial crime prevention, as well as the impact of fintech on compliance and regulation. |
Register
Register to attend this complimentary webinar below.