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Compli-Serve, in partnership with UCT Law@work presents

a Virtual Webinar on

Compliance & Market Conduct-

‘Conduct. the dominant regulatory theme’ …

 With Richard Rattue, MD of Compli-Serve SA and

IN CONJUNCTION with

 Ms. Hannelie Hattingh, Senior Manager: Regulatory Framework Dept., Financial Sector Conduct Authority (FSCA)

Conduct risk

Conduct risk is changing the global regulatory landscape. Conduct risk and placing the customer’s best interest at the heart of everything you do, requires a shift in mind-set. Clients often ask where do we start, how do we embed conduct risk, what sort of framework should be created?

Session focus points  

The process that will be followed with the redesign of the conduct regulatory framework.

Market Conduct Risk- main regulatory emphasis for FSPs; Global conduct drivers; Global regulatory trends; Consumer duties; Local regulatory touch points; The key risk areas; Data and conduct risk; initiating an MCR project; Compliance Officer and Key individual impact; CO challenges/ futureproofing; Regulatory reporting.

Session Take Aways
A better understanding of key market conduct concepts and challenges

Who should attend:
Business Owners, CEOs, Compliance Officers, Risk Managers, Key Individuals and Representatives.

 

CPD hours: 2

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