Compliance: Principles-based Regulation - Leading the Change

The Workshop sessions include (continued):

New systems and controls and meaningful management information – what next?

• Making sure that clients are do not suffer disadvantage arising from conflicts of interest
• Making sure that products are appropriate for targeted clients
• Documenting the inputs and outputs

Managing client expectations in a compliant marketing environment

• Communicating the internal compliance regime to clients
• Making sure their expectations are accurate
• What are objective standards for ‘true, fair and not misleading’?
• Does this vary by product and client?

Facilitated group exercises will be held throughout the workshop to enable delegates to gain maximum benefit from the day through networking with other delegates.

The next Compliance: Principles-based Regulation - Leading the Change workshop will be held in London on Thursday 18th September 2008.

The cost including course materials and refreshments is £795+VAT. Discounts are available for the second and subsequent delegates booked from the same organisation.

For more detailed information about Compliance: Principles-based Regulation - Leading the Change, please email our or complete our online contact form.