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.
