Events & Seminars

LIIBA runs presentations and seminars throughout the year

LIIBA 8/2020     SEMINAR – Non-Financial Misconduct    We have arranged for Ernst & Young to give a…

LIIBA 8/2020   

 SEMINAR – Non-Financial Misconduct

  

We have arranged for Ernst & Young to give a presentation to members on Non-Financial Misconduct following the FCA Dear CEO letter, sent in January 2020. Brokers should be aware that the FCA will be expecting brokers to demonstrate they have adequate systems and controls in place to identify where non-financial misconduct has occurred and the means they have to address such transgressions.

 

The following areas will be covering:

  • What is non-financial-misconduct and what are the regulatory expectations?
    • An overview of the regulation of non-financial misconduct and the journey that lead to the most recent ‘Dear CEO’
    • The FCA’s expectation of fundamental changes/improvements in firms’ culture driven by leadership
  • What is culture and why is it important?
    • The key facets of the broader culture agenda
    • The importance of purpose in driving effective organisational culture
    • The financial and non-financial benefits of an effective organisational culture (including financial performance, employee engagement, risk and compliance)
  • An approach to evaluating your culture
    • Key considerations and aligning your operating model and operating environment
    • EY’s three-fold approach to measuring culture – perception based, data and MI based, research based
  • How do we deliver effective cultural change?
    • An illustrative culture change journey
    • Overcoming challenges of changing culture
    • Key priorities for immediate consideration

Presentations will take place on:

 

Wednesday 1st April at 2.30pm

AND

Thursday 2nd April at 9.30am

 

Presentations will take place at our offices, 2nd floor, 78 Leadenhall Street, EC3A 3DH, and should last no more than 1 hour including a Q&A session.

 

All places will be allocated strictly on a first come first served basis with two places being allocated per organisation. If you wish to attend please contact Sophia.Lane@liiba.co.uk giving the name of your proposed attendees and your preferred date.

 

Geraldine Wright