Managing risk in the financial services industry

Member price: £379 + VAT

Non-member price: £446 + VAT

Timing: 9.00am-5.00pm

Overview

This one-day course explains the legal and compliance requirements for risk management, before covering the core principles and processes of managing risk. Case studies will be used throughout, and the course aims to provide a comprehensive overview of the risk environment and the controls needed.

What you will learn

• Legal Background and Corporate Governance Issues
• Compliance
• Company Law
• FSMA 2000
• Sarbanes-Oxley
• Combined Code of Corporate Governance
• FCA Requirements
• Strategy and Business Risk
• Management Reporting and Balanced Scorecards
• KPIs and KRIs
• Risk Appetite and Risk Control Structures
• Management of the Components of Risk
• Credit risk
• Operational risk
• Market risk
• Other (e.g. liquidity, legal, reputational, etc.)
• Enterprise Risk Management
• Examples of poor Risk Management in the Financial Services Industry

Who should attend

This course will be of particular benefit to compliance officers and to administration and operations staff in the financial services industry. It is designed for anyone who needs to understand the principles and significance of risk management and control without analysing market risk or portfolio sensitivity in detail. It will also be very helpful to managers within financial services companies, and to their financial advisers.

Questions?

BPP | Tel: 0330 060 3303 | Email: ldicas@bpp.com