Core Compliance Disciplines in a Remote Working World

Date: 
April 22, 2020 - 11:00 am to 12:00 pm
Type: 
Webcast
Division: 
ACA Compliance (Europe)
Speaker(s): 
Bobby Johal, Managing Director, Martin Lovick, Director, Andrew Poole, Senior Principal Consultant

In the current environment created by the COVID-19 pandemic, remote working (usually from home) has become the new norm. Firms and their staff must adapt to fresh challenges but not overlook core business disciplines. This free training webcast is designed to help ensure that financial services staff, regardless of their role, do not forget their core compliance responsibilities during this period.

Join us for a complimentary webinar on Wednesday April 22, 2020 at 11:00 AM BST for a presentation on key compliance disciplines in the current environment. A recording of the session will be made available and may be shared with staff for training purposes.

Discussion Topics

This webcast will cover:

  • The regulatory backdrop; what the FCA expects
  • Key compliance disciplines (I): expectations on senior management and staff
  • Key compliance disciplines (II): best practices for firm-wide systems and controls

Who Should Attend

This webcast is ideal for those who wish to understand and/or provide training for their staff on key compliance disciplines in a work from home environment including:

  • All staff working from home, including
  • Investment and risk staff
  • investor relations
  • Operations
  • CCO's, COO's, GC's
  • Members of the Management Body