Mark Turner, Managing Director in Duff & Phelps’ Compliance and Regulatory Consulting practice, will be speaking at TISA’s SM&CR event on implementing conduct rules.
This seminar will focus on firms’ implementation and monitoring of the conduct rules under SM&CR. This will be a practical, workshop-style seminar which will work through case examples and include audience participation so attendees will gain hands-on experience of talking the knotty issues as well as taking away vital information and understanding of this key topic. The seminar will end with a panel session discussing practical issues in implementation and BAU to draw on the speaker’s knowledge of how to avoid the potential pitfalls.
The key themes to be covered are:
Identifying conduct breaches (potential risks, how to capture these consistently)
Assessing conduct breaches (consistency, method, approach)
Documenting and recording conduct breaches (including reporting and regulatory references)
For more details of this event, click here.