PART OF THE CISI & ADEMPI ASSOCIATES WEBINAR SERIES
Could conduct risk be amplified during lockdown?
You can still register and watch the replay!
What We'll Cover
With an increased focus by the FCA on consumer outcomes during the Coronavirus pandemic, Gillian Roche-Saunders and Dena Chadderton from regulatory consultants Adempi Associates explore the impact of current working practices on conduct risk for regulated firms.
They look at the ability of individuals working for a Firm to cause harm to its customers, the role of culture in managing this risk and the impact of the Senior Manager’s Regime on these outcomes.
Who is this for?
This webinar is aimed at the Compliance Officers and Senior Managers within FCA regulated firms. .
I intend to better understand how the conduct risks my firm face might change while working remotely.
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.
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.
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.