PART OF THE CISI & ADEMPI ASSOCIATES WEBINAR SERIES
Wind-down planning – when is the right time?
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What We'll Cover
Summary
In the face of ongoing uncertainty created by the Coronavirus pandemic, robust wind-down planning has never been more important.
The best outcome for both shareholders and customers of a firm occurs when it manages a wind down in an orderly manner, but knowing how to identify when this decision should be made can be difficult and is often missed.
Gillian Roche-Saunders and Dena Chadderton from regulatory consultancy Adempi Associates explore what the FCA rules require of firms and offer practical advice for improving current plans and addressing common mistakes.
Who is this for?
This webinar is aimed at the Compliance Officers and Senior Managers within FCA regulated firms. .
Learning Objectives
I intend to better understand common pitfalls of wind-down plans and what the FCA is expecting firms to have in place.
About Gillian
Gillian Roche-Saunders is a Partner at Adempi and a longstanding regulatory adviser to FCA regulated firms. After spending nearly a decade of helping firms navigate UK and European regulation, Gillian understands that clients are looking for support which is expert, pragmatic and commercial. Gillian enjoys helping firms who are innovating, creating growth or delivering an impact which is why she focusses particularly on working with venture capital, financial technology and social impact firms.
About Dena
Having held Compliance Officer and Finance Director roles within asset managers and platforms, Dena Chadderton brings real operational understanding to her work with our clients. She is a partner at Adempi and as a nexpert in CASS, reporting and prudential regulation she brings great depth of knowledge to our clients and is known for her frank and insightful opinions.
About Adempi
Adempi is a regulatory consultancy advising, supporting and training FCA regulated firms. Our focus is on helping firms accomplish their goals.
We work in close partnership with our clients and provide expert, pragmatic advice informed by our deep understanding of their businesses.
.About the CISI
The Chartered Institute for Securities & Investment is the leading professional body for securities, investment, wealth and financial planning professionals. Formed in 1992 by London Stock Exchange practitioners, we have a global community of circa 45,000 members in over 100 countries and last year more than 40,000 CISI exams were sat in 81 countries, 15,000 taken outside the UK.