Non-Financial Misconduct Briefing Series
Overview
The Financial Conduct Authority (FCA) has made clear that tackling non-financial misconduct (NFM) should be a priority for firms.
However, non-financial misconduct is a complex issue and potentially raises a series of challenges for firms.
Our Non-Financial Misconduct Briefing Series is designed to help firms implement robust NFM frameworks and to provide a forum for discussion.
These quarterly one-hour interactive briefings (delivered via Zoom) will consider the FCA’s evolving expectations regarding NFM and explore how firms can embed good practice. They will be delivered by our in-house specialists, who regularly discuss NFM with firms in various sectors and at all levels from conduct rules staff to Senior Management and Boards.
The sessions will include case studies, the latest data, events and practical tips.
To encourage open discussion, the briefings will operate under the ‘Chatham House Rule’* and will only be available ‘live’.
Learning Outcomes
After attending this course, participants will:
- Be able to describe the core requirements of the GDPR
- Be better equipped to consider and assess the implications of GDPR on their Firm
- Know what the GDPR means to them
Course Details
Introduction
- The aim and context of the GDPR
- The principle of accountability and governance
Key Definitions
- Different types of data – personal, sensitive, pseudonymised, anonymised
- Data subjects
- Controller and processor
Lawful Processing and Consent
- The main instances that provide organisations with the legal basis they require
- What makes consent valid
The Privacy Principles
- The 6 principles laid down in the GDPR in relation to personal data privacy
Individual Rights
- Right to be informed
- Right of access
- Right to rectify
- Right of erasure
- Right to data portability
Breaches and Notifications
- Notification requirements of a personal data security breach
Data Transfers
- Restrictions and potential fine for breaching the data transfer requirements
What it Means for You
- Structured around the life cycle of data:
- Collection
- Lawful basis
- Consent (and what makes it valid)
- Privacy policy and privacy notice
- Maintenance / storage / use
- Safety and security
- Transfers of data
- Subject access requests
- Data breaches
- Destruction / erasure
- When it is required
- Importance of anonymisation
Delivery
Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Additional Benefits:
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Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
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On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.