Governance and ethics

23 Mar Edinburgh, United Kingdom 09:00AM - 10:30AM


Governance and ethics remain key focuses for both the PRA and the FCA.  Both regulators are placing increasing emphasis on the requirement that all firms have – and can show they have – adequate governance that ensures risks are managed and mitigated, and that appropriate cultural and ethical values are enforced throughout the business. 

This seminar is aimed at Heads of Legal and Compliance, as well as senior managers concerned with governance and ethics.

This seminar will look at the following areas: 

  •  How do the PRA and the FCA view governance?
  • What are the ethical and cultural values they expect?
  • How will they be monitored under SMCR?
  • How do conduct and ethics link with conduct standards?
  • How should you handle a requirement for a board effectiveness or governance review?
  • When do the regulators take enforcement action over governance?

This seminar, being held at our Saltire Court offices in Edinburgh, is free to attend.  Please contact us for further details and place availability.