Overview
In this webinar, Peter Haines and Nigel Sydenham offer practical guidelines to help ensure that Senior Managers, Compliance Teams and staff can explain:
- How the FCA has got to where it is now
- What their firm needs to do to comply with the 1 September 2026 deadline for implementation of the new requirements
- What their firm needs to be doing right now to ensure that they are taking the right approach to NFM, providing the right guidance to staff and holding them to account for inappropriate conduct.
Who should attend?
This webinar will be essential for Senior Managers, Compliance Officers, and HR / People Officers in regulated firms. This webinar will be particularly important for Senior Management who hold the prescribed responsibility for conduct rules training and reporting.
Why should you attend?
The FCA’s policy statement in early July outlines how NFM will be covered in its rules. This applies to all firms regulated by the FCA from 1 September 2026 and shows how NFM will apply both to the conduct rules in COCON and to the fitness and propriety test for relevant individuals. Regulated firms must act now to prepare to understand its guidance and how to comply with the requirement.
Speaker bios
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Nigel specialises in training boards, senior executives and other staff on the impact of regulation and regulatory change. He is a CFA Charterholder and Chartered Fellow of the CISI, with over 15 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. |
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Peter has over 35 years’ experience in the field of regulation and compliance. A chartered accountant, 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. As Director of GRC Training, he works closely with our clients to ensure that our programmes are tailored to their exact needs and meet, or surpass, their expectations. |