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FCA fines against firms and individuals totalling £87 million so far in 2024 indicate a serious knowledge gap among senior managers in financial services firms. They are often unprepared and overwhelmed to interpret and respond appropriately to the volume and complexity of regulatory change for which they are responsible.
In this FREE 60-minute webinar, experts from CCL Academy unpack what you, as a newly appointed or current senior manager, need to know to make better and more informed decisions to meet the rising expectations of staff, your board, and the regulator.
Key discussion points include:
1. What recent FCA fines tell us what senior managers need to learn in 2025.
2. The three most common knowledge gaps found among senior managers which expose their firms to severe risks and uncertainties.
3. How smart leaders build the breadth and depth of their regulatory knowledge to make better holistic decisions for their firm.
More about Nigel Sydenham
Nigel specialises in training boards, senior executives and other staff on the impact of regulation and regulatory change.
He is a CFA Charter holder and Chartered Fellow of the CISI, with over 20 years industry experience.
With a background in compliance in private banking and wealth management, Nigel has a particular interest in effective corporate governance and the management of compliance and regulatory risk.
His interests also include issues relating to ESG and climate risk, conduct and culture (including non-financial misconduct), and all aspects of financial crime prevention, as well as the impact of fintech on compliance and regulation.
His training style is highly interactive, seeking to engage participants with the relevant issues through the use of case studies, group discussion and real-life examples.
More about Peter Haines
Peter has over 35 years’ experience in the field of regulation and compliance.
Peter spent 6 years working with the UK’s SFA (now the FCA) and has headed up regional and global compliance functions at Paribas, UBS Investment Bank and Bank of America. Since 2006, Peter has specialised in training, focusing on boards, senior management and assisting the next generation of compliance officers.
His coverage includes most areas of compliance and financial crime, corporate governance and risk management. His style is inclusive, interactive and based on practicalities, not just rules. Peter has occupied a number of SMF positions under the SM&CR and similarly under the previous regime.
