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DTSTART;TZID=Europe/London:20240626T113000
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DTSTAMP:20260621T140249
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UID:25844-1719401400-1719403200@complyport.com
SUMMARY:Webinar: Diversity\, Equity and Inclusion in Financial Services - Are you ready for the new Regulatory changes?
DESCRIPTION:Description:\nDiversity\, equality and inclusion (DEI) are crucial in the financial services sector\, ensuring ethical\, fair\, and sustainable practices while promoting innovation\, resilience and competitiveness. Embracing diversity allows financial institutions to leverage a wide range of perspectives and talents\, fostering creativity and innovation in product development and problem-solving. Inclusive practices drive economic growth and stability by ensuring equal access to financial services and opportunities for all individuals. \nMoreover\, firms with diverse teams are better equipped to manage risks effectively\, adapt to changing market conditions\, and comply with evolving regulatory requirements. Fostering an inclusive workplace culture enhances employee engagement\, satisfaction\, and performance\, demonstrating a commitment to ethical business practices and societal well-being. \n\nWho is this webinar for?\nThe webinar is for all firms and its employees to gain an insight and understanding on the evolving DEI agenda from the regulators\, the status of DEI in financial services\, what will the new regulatory rules change in DEI and looking at the general landscape in firms and how it can be changed. \n\nJoin us to delve into:\n\nFCA and PRA consultation papers on DEI. Change it will impose on regulatory framework.\nExamining the current status of DEI in financial services.\nWhat firms can do to be ready for the upcoming regulatory changes.\n\n\nDetails:\nDate: 26th June \nTime: 11.30am \nPlatform: Zoom – Live Online \nDuration: 30 mins \n\nSpeakers\nNicola Christofides \nAssistant Director\, Complyport \nClick the button below to book a virtual seat. \nBook a seat
URL:https://complyport.com/event/webinar-diversity-equality-and-inclusion-in-financial-services-are-you-ready-for-the-new-regulatory-changes/
LOCATION:Live online – Zoom
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DTSTART;TZID=Europe/London:20240528T090000
DTEND;TZID=Europe/London:20240528T130000
DTSTAMP:20260621T140249
CREATED:20240521T145135Z
LAST-MODIFIED:20240522T152311Z
UID:25789-1716886800-1716901200@complyport.com
SUMMARY:28th May 2024: Consumer Duty - Live Online Course
DESCRIPTION:In July 2022\, the Financial Conduct Authority\, or FCA\, published a policy statement\, with final rules\, on its Consumer Duty initiative. This comprises a new principle\, cross-cutting rules\, and four outcomes for retail consumers. The Consumer Duty will mean that consumers should receive communications they can understand products and services that meet their needs and offer fair value\, and obtain the customer support they need\, when they need it. Clarity on the FCA’s expectations\, and firms’ focus on what their customers need\, should lead to more flexibility for firms to compete and innovate in the interests of consumers. With firms assessing how they are meeting their customers’ needs\, the FCA will be able to quickly identify practices that do not deliver the right outcomes for consumers and take action before practices become entrenched as market norms. Regulated firms will have to comply with the Consumer Duty from 31 July 2023\, with a delayed implementation of 31 July 2024 for products that are closed or not being sold to new investors. \n  \nLearning Outcomes\nBy the end of the programme\, participants will: \n\nUnderstand and explain the FCA Consumer Duty\nArticulate the changes required as a result of the Consumer Duty\nExplain the desired outcomes for consumers\nDescribe how firms can begin to evidence their compliance with the Duty\nAppreciate how the Consumer Duty applies across different sectors\n\n  \nWho Should Attend \nRelevant staff roles include Risk and Compliance\, Operational Oversight and Management. \n  \nTraining Details\n\n4 CPD Units\n4 Hours\nLive Online\n28 May 2024\n09:00 – 13:00 UK Time\nOnline\n\n  \nRegulatory expectations – the role of Compliance Monitoring\n\nAims of the Duty\nThe Consumer Principle\n3 cross-cutting rules\n4 outcomes\nImpact on Conduct Rules\n\n  \nTraining Outline \nMonitoring Outcomes under the Consumer Duty \n\nWhat do the regulators expect?\nWhat might a monitoring programme look like?\nFocus on vulnerability\n\n  \nSenior Managers and the Consumer Duty \n\nRegulatory Expectations\nSupporting senior managers from the bottom up\nBuilding evidence of reasonable steps\n\n  \nRecognising differences \n\nImpact on retail banking\nImpact on consumer credit\nImpact on wealth and asset management\nImpact on insurance distribution\nImpact on mortgages\n\n  \nTrainer\nIndustry Expert | Steve Fairclough \n \nSteve began his financial services career in 1993 and has over 20 years practical training experience across a range of sectors and topics.  He is a former Head of Education for HSBC covering the UK and Europe\, responsible for regulatory and financial crime related compliance learning.  His time at HSBC was during intense scrutiny from regulators and government functions during the bank’s Deferred Prosecution Agreement.  Other roles include leading the Monitoring and Testing programme for a UK Wealth Manager\, and Senior Vice President responsible for Global Risk & Compliance training at a US-based bank.  He also worked in the Insurance Firms division at the Financial Conduct Authority (in the FSA days) where he was the divisional expert for the rules and outcomes required under the Training & Competence handbook. \nThe HSBC role\, along with five years at Barclays in their Private Clients and Wealth functions\, has seen Steve work with retail\, commercial\, wholesale and private banking channels.  Since leaving HSBC\, Stephen has worked with the compliance\, HR and operational teams of firms to enhance their regulatory understanding\, as well as delivering content across private equity firms\, investment houses\, banks and wealth managers.  He regularly delivers core programmes for TISA and the Investment Association. \nSteve is a former member of the Investment Management Association Training & Education Committee and won the Thomson Reuters award for “Most Effective Compliance Training at a Regulated Firm” in 2010. \n  \nFor more information\, please reach out to: \nDenis Sureyev\, VP of Business Development\, LGCA\, at dsureyev@lgca.uk \nLearn More
URL:https://complyport.com/event/28th-may-2024-consumer-duty-live-online-course/
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DTSTART;TZID=Europe/London:20240501T093000
DTEND;TZID=Europe/London:20240501T233000
DTSTAMP:20260621T140249
CREATED:20240327T114517Z
LAST-MODIFIED:20240429T141043Z
UID:25292-1714555800-1714606200@complyport.com
SUMMARY:1st May 2024: Financial Crime: The FCA’s 4 areas of focus Networking Breakfast
DESCRIPTION:Financial crime remains a significant challenge and one that demands collective action and unwavering commitment. In light of recent developments and the evolving landscape\, Complyport is delighted to extend an invitation to our upcoming breakfast networking event\, where we will delve into the critical themes outlined in the Financial Conduct Authority’s (FCA) recent publication on their areas of focus for financial crime. \n  \nEvent Details: \n\nDate: 1st May 2024\nTime: 9.30 am – 11.30am\nLocation: Complyport\, 34 Lime St\, London. EC3M 7AT\n\nPlease email sukh.vairea@complyport.co.uk to register your interest. \n  \nAbout the Event\nThe FCA’s recent publication underscores the importance of collaborative efforts across four key areas of focus. As Mark Francis\, FCA Director of Wholesale and Unauthorised Business Investigations\, emphasises\, progress in combating financial crime demands a unified approach. \nKey Topics Include: \n\nData and Technology: Harnessing innovation to combat emerging risks.\nCollaboration: Strengthening partnerships to enhance information sharing.\nAwareness: Empowering consumers to identify and mitigate fraudulent activities.\nMetrics: Establishing robust frameworks to measure impact and efficacy.\n\nWhy Attend? \nJoin us as we explore the FCA’s areas of focus and explore actionable strategies to combat financial crime effectively. The event will feature insightful discussions\, networking opportunities\, and practical insights from our industry experts. \nOur Hosts: \n\nSukh Vairea – AML Solutions Consultant\, Complyport\nNicola Christofides – Assistant Director\, Complyport\nKumar Ved – Managing director\, Complyport\n\n  \nJoin Us:\nPlease email sukh.vairea@complyport.co.uk to register your interest. \n  \nAbout Complyport\nComplyport is a market-leading consulting firm supporting the UK financial services industry for over 22 years. We specialise in providing Governance\, Risk and Compliance services to support the regulated financial services industry to raise standards and thrive. \nComplyport can assist with the preparation of a GAP analysis and impact assessment on the investment firm’s capital adequacy and risk management framework of the Company under the regulatory framework. \nWe specialise in supporting the UK financial services industry with compliance guidance\, advice and best practice. \n\nFinancial Crime Risk and Compliance support\nOperational resilience & Cybersecurity advice\nCompliance managed services and resourcing compliance personnel\nSkilled Person Reviews and Regulatory Investigation\nPrudential support\, IFPR\, ICARA and financial resilience advice\nConsumer Duty implementation advice\nFinancial Promotions guidance\, support\, and management software solutions\nCASS advice and protections of client assets\nComprehensive compliance work-flow management software
URL:https://complyport.com/event/1st-may-2024-financial-crime-the-fcas-4-areas-of-focus-networking-breakfast/
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