Overview
In this webinar, Peter Haines, Nigel Sydenham and Michael Sacks discuss the most important aspects of the new requirements. By attending this webinar, you will be able to:
- Describe the key changes required by the implementation of the new Conduct Principles
- Explain the impact of these changes on your firm’s policies and processes
- Apply best practice techniques to training all Authorised Individuals and Relevant Employees (from The Board and Senior Management, to front and back office, risk and control functions) using 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 introduction of the Conduct Principles is aimed at ensuring accountability not only of Senior Management, but also of staff at all levels in a firm. It is essential that, by 1 July 2026, Boards and Senior Management should have implemented the new requirements and all staff should have been trained such that they can apply the Conduct Principles to their roles within the firm.
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. |
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Michael has over 20 years’ experience in compliance learning, with particular expertise in developing innovative, blended learning solutions. He started his career as a lawyer, advising on UK and international regulation. In 2005, he set up a global compliance training provider which developed online and classroom training for major financial groups, regulators and multi-national companies. As one of the lead subject matter experts, he delivered compliance training on a wide range of regulatory topics, including financial crime, market conduct, information security and conduct risk. Michael has worked with regulators and industry bodies, including the FSA (now FCA), the JMLSG and the BSR/UN Global Compact, to develop training and awareness initiatives in relation to major legal and regulatory events. He is also the author of ‘Financial Services Regulation - A Practical Guide’ which was endorsed by Sir Callum McCarthy, former Chairman of the FSA. |
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