And finally, has the firm assessed whether there are any other activities that it undertakes that could undermine strategies put in place to improve conduct? At a core, we are software serviced based technology vendor that helps firms mitigate conflict or interest to an employee firm and third party activities. For example, insider dealing which is difficult to prevent, but through systems and controls can be detected. In this interactive webinar, we will explore the characteristics of at-risk students from a variety of different student populations, discuss the challenges they face, and provide evidence-based best practices for retaining these students to graduation. When the current crisis is over, my expectation is that the FCA will look back at any suspicious trading patterns over the period, except it is not doing so now and of course, as I have said, it will still be receiving real-time transaction information. Head of UK Financial Services Regulation and Joint Head of UK Financial Services Sector, Conduct risk therefore touches on all parts of an enterprise framework. We were about 10-20 minutes into the presentation when he just cut out. What appealed to you the most? Firms should therefore ensure that they have a robust crisis-management policy in place and identify all personnel who carry out key governance functions to ensure continuity of day-to-day decision-making. However you can create any form that your company needs, such as - for example, the permission to speak when expert network or the permission to speak at an industry trade show, or a conference. Remember, your audience will either be looking at you or your slides, so don’t bore them with a dry, bland slide deck.
It really depends on the liquidity of the stock and the nature of the information. Our structure is explained in more detail on our Legal Information page. This could lead to long-running failings at the firm, not being addressed through prompt decisive action. You might think that everyone will be ready and willing to drop everything and enjoy your irresistible hour-long webinar on supply chain management (or whatever it is you do), but remember that most people are too busy to stop what they’re doing and watch a webinar that doesn’t interest them. The government indicated at the outset that financial services was considered to be a critical sector and at the same time, the FCA, Bank of England and Her Majesty's Treasury all made clear their expectations of financial services firms to have effective contingency plans in place, to enable them to continue operating effectively while meeting their regulatory obligations. Hear what makes us great -- straight from our customers. Ian: The FCA does try to mitigate this by updating firms' individuals on the progress investigations, but that is not usually a very detailed feedback on that, so you may just be told, well we have not reached a decision yet or the next stage may not be some months. So they may say, well actually I do not want to receive the inside information, in which case the person passing the information must stop at that point. It will help you stay on topic, and make keeping track of time much easier. Next. In my previous role as an FCA enforcement investigator, I often investigated root causes of long-running failings in some of the largest institutions and a common theme that we kept identifying was that there were layers of management and committees with similar and often over-lapping objectives with similar MI going up the chain, in varying different forms with no-one really keeping a close eye on whether, and to what extent, issues were being addressed and by whom. The Forms Manager allows you to create any form of pre-claim submission screens that can be linked to the rules engine. Understand the basis for a complaint and/or appeal. If you want to take an extra precautionary step, think about dialing into the webinar from a land line to be safe. Families as Partners: Creating Connections? Otherwise, how can you expect them to speak authoritatively about your chosen subject? So, what is conduct risk? Conduct Risk has been a defining theme of the Financial Conduct Authority and whilst Conduct Risks might be blindingly obvious once in front of you, they may be difficult to spot in advance. Ian was the head of wholesale enforcement investigations at the FSA and I joined Gowling WLG almost two years ago now, having spent eight years working across a number of roles in the supervision and enforcement divisions of the FCA. Ian: Yeah. I think the FCA will appreciate that the firms are under a significant amount of pressure at the moment, so if for example what you are facing is a technical breach where there is not much of an impact on - it does not have much of a customer harm, did not really lead to any harm to markets or market integrity, the FCA may show more leniency to those sorts of examples. This Webinar will examine how we measure success in terms of student activities (social programming) and look at methods to help programmers set goals and standards in terms of programming that aligns with their school. Firms with mono-cultures suffer 24% more governance related issues than their peers, so our supervisors may ask directly about gender diversity policies. Is there a fear of speaking up, despite whistle-blowing initiatives? This webinar will explore Motivational Interviewing (MI), an evidence-based method of helping people change their behavior, with an emphasis on autonomy, effective communication, motivation, self-efficacy, and readiness for change. Clear lines of responsibility and accountability of conduct risk should be established and responsibility of the overall culture of the firm should sit with senior management who should set out the tone of how their staff behave. All Rights Reserved.

So you cannot discuss inside information with friends, family or colleagues unless it is connected with your role and I wanted to emphasise here that it is the act of disclosure itself that is unlawful, not where the recipient acts on that information or makes a profit. It is going to be quite hard to arrange - well I mean face-to-fact interviews at the moment are going to be very difficult obviously with social distancing. If you’ve ever wondered how to do a webinar that people will actually want to watch, you’ve come to the right place. No matter what. Both present unique challenges, some of which are easier to solve than others. Although this is a solid choice for smaller webinars, its limitations (such as a hard limit of 1,000 attendees and lack of support for integrated content management) prompted us to look for a better solution. Now, Mark Steward has suggested some possible reasons for these lower scores. Here at WordStream, we hold at least two webinars every month, and approximately 10% of our new monthly leads come from webinar registrations. I'm going to read out an interesting quote from Megan Butler, executive director of supervision in wholesale investments and specialist supervision on this issue. Presenters Sushil Kuner and Ian Mason from Gowling WLG. Management information or MI is a key form of control and if not designed properly, can lead to risks not being properly identified. Sushil Kuner The heightened risks of market abuse arising from COVID-19. Presenters Sushil Kuner and Ian Mason from Gowling WLG. The laptop ran out of juice and the computer shut right off. For firms that have not yet automated their employee activities, or perhaps those firms looking to switch providers, we recognise that the last comment you, as compliance officer, want to hear after purchasing the software is that the software is difficult to use. This webinar will cover the requirements of Title IX as it relates to our LGBTQI students and how we can help our LGBTQI students feel safer and more included on our campuses. There are 96 enforcement cases open involving suspected insider dealing and 33 cases suspecting market manipulation, as of March 2019. The FCA is showing more interest in this area. I can play this with Ian, just for demonstrative purposes. Yellows, whilst having very sunny personalities, may appear unable to take anything seriously and act impulsively whereas greens apparently are procrastinaters, who hold grudges and are often indecisive. Now there are some grey areas in terms of what is precise. Issues for classrooms, residence halls and students organizations will be discussed as well as dealing with parents. Few things will ruin a webinar faster than poor-quality audio. Firms should be ensuring that their online services are able to cope with increased demand from consumers who may now be utilising more online services for everyday financial needs. How we might help you manage conduct risk and protect your firms against market abuse. And to give you one example of this - a fairly recent example, it is a case the FCA announced in June 2019, where a senior compliance officer at the investment bank UBS in London used her position to identify inside information, which she then passed onto her family friend who was an experienced day trader in securities and they were using pay as you go mobile phones and the family friend made a profit of about £1.4 million from the trading, was subject to the five charges and the UBS officer was sentenced to three years imprisonment and the family friend received three years imprisonment in relation to five offences of insider dealing. Some people find it helpful to work on their slide deck and script simultaneously to avoid repetition and minimize the risks of simply reading from their slides. Do at least one run-through several days before the live event to make sure that everyone knows what they’re doing, and that all your gear is functioning correctly. Will it be an interview Q&A-style webinar with two speakers? The third product in our conduct suite is 'Know your Third Party' or what we call, KYTP.