A. Culture and Conduct : Understanding and developing your approach : 12 June 9.30-12.45 Live

The FCA regulates Conduct, but it doesn’t officially regulate Culture. However, there can be no doubt that both are firmly on the regulator’s agenda.

The FCA’s Q4 2024 publication of the Culture and non-financial misconduct survey highlights this, showing how important it is for firms to understand their Conduct & Culture in both quantitative and qualitative respects.

Through a series of practical steps, the objective of this workshop is to equip delegates with an approach that will enable them to better understand Conduct & Culture in their business, enhance the tools available for its measurement, advance the internal agenda, and design an action plan to meet strategic aims. In turn this will improve perceptions for relevant stakeholders.

To find out more please click on “Introduction and briefing” below.

B. Audit and Monitoring : Organising and delivering your programme : 5 June 9.30-12.45 Live

Firms are required to establish robust governance arrangements, and systems and controls that are appropriate to the nature, scale and complexity of their business. This includes arrangements for Compliance, Internal Audit, and Risk Management.

Within this, the FCA requires firms to consider what arrangements they have in place for risk-based Compliance Monitoring. The Audit and Compliance Monitoring programmes, and their outputs, are actively monitored by the FCA, to help inform their regulatory judgements.

Through a series of practical steps, the objective of this workshop is to equip delegates with an approach that will enable them to design and deliver their own programme, one that can assess how well their governance, and systems and controls ensure that:

·         clients are receiving good outcomes,

·         risks are being managed effectively, and

·         regulatory and policy requirements are being met.

To find out more please click on “Introduction and briefing” below.