Last November, Charles Cattell, Chartered MCSI, presented an informative event focusing on the behavioural aspects of conduct risk. The session provided practical advice on addressing the changing regulatory landscape in this area, including developing insights into people risk and evidencing competence.
Our January event was a roundtable discussion on best execution and in particular the FCA’s findings from its recent thematic review on the subject. A detailed introduction was provided by Kinetic Partners, and the session titled ‘Your head on the block?’ generated a lively debate that threw up many interesting and practical points from the members’ tables. The focus was on assessing the scope of the rules, the policies, monitoring and accountability.
In the year ahead we have events on a wide range of topics to look forward to, including:
- The Fair and Effective Markets Review
- Suitability and Appropriateness
- Market Abuse Directive (MAD II)
- Data Security.
We continue to have a fruitful relationship with the FCA Practitioner Panel and would encourage members of the CISI to discuss with us any issues that they would like us to raise at that forum.
Many of you will know Julian Sampson, Chartered FCSI, who will step down as Chairman of the CISI Compliance Professional Forum Committee in the spring. I am sure you will join us in congratulating Julian on his highly successful six years at the helm, and for his time and energy growing the numbers and events of the Forum.
In March 2015 we will welcome a number of new members to the Committee, following the annual elections. For further updates, please keep an eye out for our new monthly newsletter covering the work of the Compliance Forum and Committee.
Finally, the Committee would like to congratulate Alex Lander, Chartered FCSI, who was the 2014 winner of the CISI’s Outstanding Compliance Professional Award.
You can read an interview with Alex in the Review.
Peter Mulcahy ACSI, Committee member of the CISI Compliance Professional Forum
- This article also appears in the February 2015 edition of Change, the CISI's regulatory magazine.
The Compliance Forum has over 1,350 members and is one of the Institute’s largest Forums. It meets six times a year to discuss current issues with the next event taking place on Wednesday 18 March 2015.
If you would like to join the Forum and receive notifications about future events please email pfs@cisi.org.