10th Apr 24	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring This meeting has been switched to a Zoom video conference call	Discussion Topics • Regulator activity --dear CEO letter --HMT CP: improving effectiveness of ML regs. --other regulator activity • Financial crime leaders conference • Crypto currencies • Current threats & scams • Recent enforcement activity --recent fines --other enforcement activity • Other points

8th Apr 24	Private Wealth Management	Zoom Call
PWM Compliance
Chairman Michael Harden Netwealth This meeting has been switched to a Zoom video conference call	Discussion Topics • Distributor responsibilities for financial promotions • Certified HNW investor exemption for NMMI • PA dealing checks • Individual conduct-rule training • Costs & charges • Annual suitability assessments • Negative press alerts • Back-book reviews of products: structured products • FCA Points --thematic review of retirement income advice --FCA interaction --other FCA points • MI packages • Other points

18th Mar 24	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Third-party activity --irresponsible-lending complaints --other third-party activity • Consumer duty --excluded categories --recording vulnerabilities v right to be forgotten --other CD points • Regulator activity --motor finance & discretionary commission --FCA CP23/24 --other regulatory activity • FOS points --FOS overturns --questions re: vulnerability awareness --other FOS points • Vulnerable customers --external training courses --recording temporary vulnerabilities --authorised 3rd parties recording vulnerabilities --department-wide visibility of vulnerability flags --specialist teams --other VC points • Cost-of-living impact --universal-credit roll out --other cost-of-living points • Impact of Canada Square ruling • Rise in fraud-related complaints • Other points

13th Mar 24	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring This meeting has been switched to a Zoom video conference call	Discussion Topics • Responsibility for fraud • Evidencing EDD • SARs: account-freezing change • Regulator activity --HMT CP: improving effectiveness of ML regs. --other regulatory points • Current threats & scams --recent fraud penetration --other threats & scams • Recent enforcement activity • Other issues

11th Mar 24	Private Wealth Management	Zoom Call
PWM Compliance
Chairman Sarah Meakes Alder IM This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer Duty --annual report --other CD points • Pension advice permissions • Suitability reviews • MiFID II target market • Whistleblowing • FCA points --practitioner panel survey --asset management letter --FCA interaction --other FCA points • Other points

14th Feb 24	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring This meeting has been switched to a Zoom video conference call	Discussion Topics • PEPs issues --Russian nationals --other PEPs points • ABC monitoring & MI • Handling insider information • Regulator activity --FCA COO briefing: KYC --FCA WM survey: Q7.4a --other regulator activity • Current threats & scams --Instagram scams --other threats & scams • Recent enforcement activity --SEC fines: electronic comms violations --other enforcement activity • Cybercrime • Other issues

12th Feb 24	Private Wealth Management	Zoom Call
PWM Compliance
Chairman Penny Rooney Patronus Partners This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty --MI and the annual board report --ExO trades: ‘reasonable steps’ definition --assessing fair-value: non-uk products --Gibraltar: services, post 2023 --risk-monitoring portfolios --other consumer duty points • PA dealing: familial relationships • S165 data request --portfolio categorisation --C&C breakdown: ours and others included? --other S165 points • SDR • Financial crime --new PEP regulations --payments and enrichment monitoring --other financial crime points • FCA Interaction • Other points

22nd Jan 24	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Final Canada Square ruling • Consumer duty --complaint/complainant exclusions --other consumer-duty points • Cost-of-living impact --underinsurance --other cost-of-living points • Rise in fraud-related complaints • Vulnerable customers • Regulator activity --FCA: motor finance & discretionary commission --other regulator activity • FRL enclosures when complaints closed within 4 days • Third-party activity • FOS points --increase in changed decisions --other FOS points • Other points

17th Jan 24	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Michael Harden Netwealth This meeting has been switched to a Zoom video conference call	Discussion Topics • Impact of new PEP regulations • High-risk lists • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Cybercrime • Other issues

15th Jan 24	Private Wealth Management	Zoom Call
PWM Compliance
Chairman Penny Rooney Patronus Partners This meeting has been switched to a Zoom video conference call	Discussion Topics MAIN TOPICS • FCA Points --wealth managers dear CEO letter --section 165 wealth management survey --review of firms’ costs & charges structures --FCA’s sector & portfolio supervision categories --FCA interaction --other FCA points • Changes to FPO definition of HNW investors • PA dealing: familial relationships • Other points 2024 HORIZON SCANNING • Consumer duty --MI and the annual board report --evidencing compliance with consumer duty principle --other consumer duty points • DP1/21: diversity in financial services • SDR • SFDR • Other points

6th Dec 23	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring Eversheds Sutherland This meeting has been switched to a Zoom video conference call	Discussion Topics SECTION ONE: CURRENT ISSUES • Suspicious activity reports --NCA: SARs reporting changes --reporting declined business --other SARs points • Regulator activity --clone websites: FCA responsiveness --dear CEO letter: financial crime controls --systems & controls to prevent clients being defrauded --FCA as a data-led regulator --other regulator-related points • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues SECTION TWO: 2024 HORIZON SCANNING • Economic Crime & Corporate Transparency Act 2023 --failure to prevent fraud • Cybercrime • Other points

4th Dec 23	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Sarah Meakes Alder IM This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty • Compliance MI submitted to committees • Managing asset controls in funds and wrappers • Managing PA dealing blackouts • Deceased clients • FCA interaction --dear CEO letter to wealth managers --'another' FCA wealth survey --MIFIDPRU 8 rem disclosures --PS22/15: improving outcomes in non-workplace pensions --recent AML visit --other FCA interaction • Other points

13th Nov 23	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Customer experience: the complaints journey --effective measurement --complex complaints --evidencing for consumer duty • Consumer duty: other challenges • Cost-of-living impact • D&I payments • Rise in fraud-related complaints • Vulnerable customers • Third-party activity --fraud/scam complaint letters --LoA: digital v wet signatures --PSR APP fraud report --other third-party points • FOS points --FOS overturn rate --other FOS points • FCA H1 complaints data • Other points

8th Nov 23	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring Eversheds Sutherland This meeting has been switched to a Zoom video conference call	Discussion Topics • Fraud updates --payment services regulator --UK finance --NCA --other fraud points • Russia --dual nationals --other Russia-related points • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues • Financial crime summary 2023

7th Nov 23	Private Wealth Management	London
Private Wealth Management
Chairman Louise Stanway Ruffer LLP Guest Contributor Robbie Constance DWF Group This meeting has been switched to a Zoom video conference call	Discussion Topics SECTION ONE - CURRENT TOPICAL ISSUES - a discussion led by Robbie Constance, DWF • SJP's exit charges • D&I and sexism in the City • De-banking • Fractional shares in ISAs • Competitiveness v consumer protection objectives --mis-alignment between politicians/regulators • Copy-trading • FCA impotence: digital/crypto/finproms SECTION TWO - OTHER TOPICS • Structured-product advice exams • Debt counselling • Screening staff social-media accounts • Consumer duty --annual board report --other consumer duty points • FCA interaction • Other topics

11th Oct 23	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring Eversheds Sutherland This meeting has been switched to a Zoom video conference call	Discussion Topics • Domestic PEPs: processes & issues • Open-banking controls • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

9th Oct 23	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Michael Harden Netwealth This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty • CP23/20 diversity & inclusion • FCA ICARA questionnaires • TR: external process-checking • Monitoring of technical areas • FCA general interaction • Other points

18th Sep 23	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer-duty impact • Cost-of-living impact: issues & trends • Vulnerable customers: historical vulnerabilities • Three-day resolution: critical success factors • Rise in fraud-related complaints • Third-party activity Click here for event summary (pdf)

13th Sep 23	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring Eversheds-Sutherland This meeting has been switched to a Zoom video conference call	Discussion Topics • Russia --dual nationals --other Russia-related points • Source of funds --original docs v original certified copies --exceptions --other SoF points • 'Charged & not convicted' risk • De-risking clients • Regulator activity --FCA PEP questionnaire --FCA's economic crime levy --other regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

11th Sep 23	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Penny Rooney Patronus Partners This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty --implementation governance --training --other consumer duty points • IFPR disclosures • Product governance • Fixed & variable remuneration: LLPs and partnerships • Partnership/members’ partnership capital CET1 • Per se professional client classification • TR: outsourcing of 3-way reconciliation process • Portfolio management: calculating and reporting slippage • Virtual meetings: video recordings • FCA --risk management and treatment of PEPs --general interaction --other FCA points • Other points

10th Jul 23	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Preparing for Consumer Duty • Cost-of-living impact: mortgage-rate increases • Vulnerable customers • Rise in fraud-related complaints • Third-party activity • FOS: motor insurance - credit-hire risk warning Click here for event summary (pdf)

5th Jul 23	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring Eversheds-Sutherland This meeting has been switched to a Zoom video conference call	Discussion Topics • HMRC mandatory disclosure rules • Periodic AML reviews • Electronic ID&V • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

3rd Jul 23	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Louise Stanway Ruffer LLP This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty --price & value assessments --consumer-duty policies --other consumer-duty points • RTS 28 historic disclosure accessibility • SRI/SRRI scores • FCA --general interaction --other FCA points • Other points

14th Jun 23	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring Eversheds-Sutherland This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty & financial crime --governance: outsourcing KYC --sanctions checks & TM • AML: other points • Mid-year financial crime update • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

12th Jun 23	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Sarah Meakes, Alder IM This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty --vulnerable clients --other consumer-duty points • Investment risk warnings • PoA and complex products • Annual suitability reviews • FCA --thematic review on retirement income advice survey --FIN074 --other FCA points • Other points

15th May 23	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty --dashboards & scorecards --complaint acknowledgement --value assessments • Cost-of-living impact • Vulnerable customers • Handling broker complaints • Third-party activity --irresponsible-lending & foreseeable-harm complaints --rise in fraud-related complaints • FCA H2/22 analysis • FOS: quarterly complaints data Click here for event summary (pdf)

10th May 23	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Steve Smith Partner Eversheds-Sutherland Guest Contributor Gregor Gottlieb Regulatory Director Konexo This meeting has been switched to a Zoom video conference call	Discussion Topics • Economic Crime & Corporate Transparency Bill • AI and financial crime • JMLSG revision: custody and third-party payments • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Horizon scanning • Other issues

9th May 23	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Louise Stanway Ruffer LLP Guest Contributor Robbie Constance DWF Group Howden Group Offices, One Creechurch Place, London, EC3A 5AF (map)	Discussion Topics SECTION ONE "Regulatory Wealth Management" - led by Robbie Constance, DWF Group SECTION TWO - OTHER TOPICS • Consumer duty --consumer understanding --referencing consumer duty --definition of 'product' --other consumer-duty points • JMLSG revision: custody and third-party payments • FCA --DP23/2: UK regime for asset management --2022 wealth survey follow-up --FCA business plan --FCA interaction --other FCA points • Other points

12th Apr 23	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Current challenges • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

11th Apr 23	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Louise Stanway Ruffer LLP This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty --champion’s statement of responsibilities --awarding responsibilities to senior managers (Form J) --outcomes MI: board level --EMT template: adding fair value data --other consumer duty points • Certification: long-term absence • POA: reporting of decision-makers • Gifts & entertainment policies --monetary approval levels --unplanned expenditure • FCA --DP23/2: UK regime for asset management --FCA business plan --FCA interaction --other FCA points • Other points

20th Mar 23	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty --measurements & RAG ratings --other consumer-duty points • Cost-of-living impact • Vulnerable customers --recording data against flags --other VC points • Withdrawn complaints • FOS --consultation on changes in outcome reporting --other FOS points • Impact of corporate targets and efficiencies • Rise in fraud-related complaints • Third-party activity --recent CMC emails --other third-party activity • Other points Click here for event summary (pdf)

15th Mar 23	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG Guest Contributor Michael Pollitt KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Transparency International ranking • Financial crime health checks • AML --pseudonyms --court deputyship orders --other AML points • Periodic client reviews • LOD: roles and responsibilities • Regulator activity • Current threats & scams --changes in bank details --other threats & scams • Recent enforcement activity • Crypto investments • Other issues

13th Mar 23	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Michael Harden Netwealth This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty --vulnerable clients: definition of client --adviser network: underlying retail clients --other consumer duty points • Valuation corrections • 10% portfolio-drop notification • Remuneration policy statements • DP23/01 Sustainability • SDR • FCA interaction --FCA emails --other FCA interaction • Other points

15th Feb 23	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG Guest Contributor Andrew Gill, KPMG Halvor Wood, KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics 'Trader Surveillance: Monitoring for Insider Dealing and Market Abuse' - a discussion led by Halvor Wood, KPMG 'Customer Risk Assessments' - a discussion led by Andrew Gill, KPMG • Open banking • EDD: additions to HRTC list • Domestic payment screening • POCA threshold change • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

13th Feb 23	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Sarah Meakes Alder IM This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty --Dear CEO letters --remuneration policy changes --approaches to value assessments --other consumer duty points • IFPR • SDR --funds meeting ESG criteria --other SDR points • Client categorisation • EMT: adding fair-value data • FCA --categorisation of firms by FCA --FCA interaction --other FCA points • Other issues

23rd Jan 23	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty • Cost-of-living impact • Vulnerable customers • D&I awards: customer expectations • Rise in fraud-related complaints • Third-party activity • FOS issues • Other points Click here for event summary (pdf)

18th Jan 23	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • FCA STOR questionnaire • Monitoring of Bloomberg for insider dealing and market abuse • FCA fraud reporting: £ threshold for a ‘significant event’ • JMLSG: guidance revisions • Impact of global recession • Regulator activity • Current threats & scams --ESG scams --other threats & scams • Recent enforcement activity • Crypto investments • Other issues

17th Jan 23	Private Wealth Management	London
Private Wealth Management
Chairman Penny Rooney Killik & Co. Howden Group Offices, One Creechurch Place, London, EC3A 5AF (map)	Discussion Topics • Consumer duty --fair value assessments approach --fair value: info from manufacturers --co-manufacturing with non-UK firms --other consumer-duty points • Edinburgh reforms --PRIIPs regulation changes --10% portfolio value drop letters --other Edinburgh reforms points • IFPR: MIF007 reports and ICGs • Commodity pool operators • SDR • FCA --wealth management survey --FCA interaction • Other issues

7th Dec 22	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Client risk assessments • Trust bank accounts • AML --CDD for 18-year olds --other AML points • Looking ahead to 2023 • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

5th Dec 22	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Louise Stanway Ruffer LLP This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty --discounting guidelines and monitoring --other consumer-duty points • Identifying the subject of a suitability assessment • High-risk investments where clients are companies • SDR implementation • British Steel Pension redress scheme • Cross-border regulations: Canada • FCA --wealth management survey --conduct risk --other FCA interaction • Other issues • Looking ahead to 2023

28th Nov 22	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Richard Jocelyn Sarasin & Partners This meeting has been switched to a Zoom video conference call	Discussion Topics SPECIAL MEETING FCA Wealth Management Survey

14th Nov 22	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine • Cost-of-living impact • Rise in fraud-related complaints • FCA consumer duty guidance • FCA & FOS complaints data • Root cause • CMC activity • FOS issues Click here for event summary (pdf)

9th Nov 22	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine impact • AML • ID verification • Regulator activity • Current threats & scams -- Instagram -- fake CEO letters -- other fraud attempts • Recent enforcement activity • Crypto investments • Other issues

7th Nov 22	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Michael Harden Netwealth This meeting has been switched to a Zoom video conference call	Discussion Topics • Consumer duty -- progress update -- demonstrating fair value where fees are a % of AUM -- other consumer duty points • EU funds: article 8 submissions • Operational resilience • FCA -- SDR CP -- implementing updates to financial promotion rules -- wealth management survey -- general FCA interaction • Other issues

12th Oct 22	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine impact • AML -- reliance on a third-party’s AML -- other AML points • JMLSG part II sectoral guidance • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments -- digital assets v crypto -- other crypto points • Other issues

10th Oct 22	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Sarah Meakes Alder IM Guest Contributor Neil Warlow Lawyer Howden Group This meeting has been switched to a Zoom video conference call	Discussion Topics SECTION ONE - CONSUMER DUTY "Consumer Duty - The Countdown" - a discussion led by Neil Warlow, Lawyer, Howden Group Raised consumer duty points • Implementation plans -- board resolutions -- content & gaps • Third-party information requests • Demonstrating fair value: competitor data • Champion role -- apportionment of duties -- differences of approach for core v enhanced SMCR firms • Consumer duty MI: stand-alone v board packs • Other consumer duty points SECTION TWO - OTHER TOPICS • SFDR -- definition of sustainable investments -- suitability: A,B,C portfolios -- other SFDR points • CRDR/TCFD: early disclosure • Certified staff: research v business development • FCA -- wealth management survey -- regulatory fees and levies 2022/23 -- general FCA interaction • Other issues

20th Sep 22	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti Guest Contributor James Clements, FOS Mark Dungworth, FOS This meeting has been switched to a Zoom video conference call	Discussion Topics FOS SPECIAL MEETING - a discussion with the Financial Ombudsman Service OTHER TOPICS • Ukraine impact • Cost-of-living impact • FCA consumer duty guidance • Vulnerable customers • Fraud-related complaints • Other issues Click here for event summary (pdf)

14th Sep 22	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine impact • Obtaining trust registration evidence • Bank account verification: going paperless • Wolfsberg questionnaire • FCA REP CRIM return • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

12th Sep 22	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Michael Harden Netwealth Investments This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine impact • Consumer duty proposal -- progress towards deadlines -- other consumer duty points • IFPR -- annual review -- other IFPR points • FCA -- MAR: Citigroup Global Markets fine -- PS 22/10: FP rules for high-risk investments -- gifts and entertainment -- general FCA interaction • FOS -- Tilney: Blackmore Bond & LC&F advice ruling -- other FOS points • Other issues

18th Jul 22	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine -- payment-checking impact • Cost-of-living impact • Vulnerable customers • FCA: consumer duty • FOS -- legacy-pricing cases -- discussion paper: future funding model -- 4-week completion Click here for event summary (pdf)

13th Jul 22	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine --EU sanctions: UK/Russian nationality --other Ukraine issues • Third-party reliance --IFAs --transfer agencies --others • Off-boarding • Verification for crown employees overseas • SmartSearch: centralised suspicious activity flagging • CBDDQ/AML questionnaire • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

11th Jul 22	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Louise Stanway Ruffer LLP This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine • Consumer duty proposal • Charging for non-regulated services • Trust registration service: registration clarity • Pillar 3/IFPR disclosures • FCA interaction • Other issues

15th Jun 22	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine -- sanctions issues -- other Ukraine issues • Trust registration service • Client and enterprise level risk classification methodologies • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

13th Jun 22	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Penny Rooney Killik & Co. This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine • TCF: varying interest rates across banks • Trustee register • Internal audit outsourcing • Financial promotions disclaimers for funds • Agency cross: netting-off buy and sell trades in the same security • PEP/Sanctions monitoring and notifications • General approach to centrally organised G&E • IFPR • FCA • Other issues

16th May 22	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine • Vulnerable customers -- vc complaint survey findings -- other vc points • FCA -- FCA complaints data -- consumer duty proposal -- fair pricing complaints: trends & responses -- other FCA points • FOS -- short-format adjudications -- other FOS points • Other issues

11th May 22	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine • Trust registration service • AML -- FCA 'Dear CEO letter' for challenger banks -- other AML points • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

9th May 22	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Sarah Meakes Alder IM This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine • IFPR -- Rem code interaction: MIFIDPRU v UCITS/AIFM -- other IFPR issues • Costs & charges -- brokers dealing as principal -- withholding taxes -- other cost & charges issues • PA dealing -- breaches -- onsite service-provider staff policies -- other PA dealing issues • FCA -- questionnaire: WMs & stockbrokers -- FCA: a data-led regulator? -- general interaction • Statements of responsibility • GDPR and employee candidate CVs • ESG -- European ESG template (EET) -- net-zero disclosures: product level -- other ESG issues • Consumer duty • Dealing with unsolicited communications • Cryptocurrencies • Other issues

13th Apr 22	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG Guest Contributor Chris Campbell Charlotte Isoba Blanco KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics Featured Topic: 'The Future of CDD Delivery' - a discussion led by KPMG Other Topics: • Ukraine • EDD: document collection • Sign-off process for high-risk accounts • Economic crime bill • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

11th Apr 22	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Mark de Ste Croix Raymond James This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine --securities sales: Russian nationals --other Ukraine issues • IFPR --MIFIDFRU TP 7.4R --other IFPR issues • PA Dealing • Wall crossing • KID for PRIIPs: narrative performance scenario • Certification: business development staff • Compliance monitoring methodology • ESG • Cryptocurrencies • Consumer duty • FCA interaction • Other issues

28th Mar 22	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine • Final response-letter wording • Gambling complaints • PPI: Potter v Canada Square update • Logging performance complaints • FOS: consultation on proactive settlements • FOS: ‘determining eligibility’ charge • FOS: approach to eligibility for third parties • FCA: consumer duty • Vulnerable customers Click here for event summary (pdf)

23rd Mar 22	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Russian sanctions --corporate actions, dividends, rights issues --custodian v EAM sanction checks --sanctions: impact-analysis feeds --other sanctions issues • Economic crime bill • Customer screening • Record retention • Regulator activity • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

21st Mar 22	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Michael Harden Netwealth Investments This meeting has been switched to a Zoom video conference call	Discussion Topics • Ukraine --checking third-party payments --other sanctions issues • IFPR --FCA reporting schedules --MIFIDFRU TP 7.4R(2)(b) notifications ----capital instruments as own funds --other IFPR issues • Costs & charges: slippage; implicit costs • Annual F&P review: SMFs vs certification • Consumer duty • ESG • Statement of Responsibility - annual reviews • FCA interaction • Other issues --Univista price-increase notifications

23rd Feb 22	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Ownership structures • Differing bank-account jurisdictions • Russian sanctions • Regulator activity --economic crime bill --economic crime levy --other upcoming regulations --regulator contact • Current threats & scams • Recent enforcement activity • Crypto investments • Other issues

21st Feb 22	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Louise Stanway Ruffer LLP This meeting has been switched to a Zoom video conference call	Discussion Topics • IFPR --MIFIDPRU remuneration code equivalence: UCITS, AIFM --other IFPR issues • Trusts with no trust deed: LEIs • Costs & charges: slippage; implicit costs • FCA reporting schedules • Duty of care • ESG • FCA interaction • Other issues --FT enquiry: recording Zoom calls

24th Jan 22	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Increased activity: CMCs, legal firms • Oversight and reporting: third-party branding • FOS --verbal authority pros and cons --recording outcomes --invoice-payment portal problems --case costs --other FOS points • FCA --consumer duty proposal --impact of FCA pricing remedies --other FCA points • Vulnerable customers • Road-to-normal issues • Other issues

19th Jan 22	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • 2021 Review • The year ahead • Regulator activity --upcoming regulations --regulator contact • Market-abuse alerts: Eflow • Current threats & scams • Recent enforcement activity • Crypto investments • Road-to-normal update • Other issues

17th Jan 22	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Penny Rooney Killik & Co. This meeting has been switched to a Zoom video conference call	Discussion Topics • Duty of care • IFPR --MRT bonus clawbacks --timescales for returns --ICG/CPB: transition arrangements • Non-regulated business and client agreements • Risk matrices and market impact • Product governance • ESG --suitability changes --SDR & TCFD timelines --EU divergence --other ESG points • FCA interaction --timescales for SMF applications --others • Regulation/thematics --Firm culture assessments --RM competency assessments: complex products --others • Road-to-normal update • Other issues

8th Dec 21	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • DWP legislation: pension scams • Regulator contact • Current threats & scams • Cryptocurrencies • Road-to-normal issues • Looking ahead to 2022 --economic crime levy --Home Office: reforming economic crime legislation • Other issues

6th Dec 21	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Sarah Meakes Alder IM This meeting has been switched to a Zoom video conference call	Discussion Topics • ESG --suitability changes --SDR & TCFD timelines --EU divergence --other ESG points • IFPR • AML/CTF checks on investee issuers • FCA interaction • Looking ahead to 2022 • Other issues

15th Nov 21	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • FCA --consumer duty proposal --pricing changes --FCA complaints return --other FCA points • Vulnerable customers --Settld --other VC issues • Road-to-normal issues • FOS --verbal authority --consultation: proactively-settled complaints --other FOS interaction • Fraud-related complaints • Looking ahead to 2022 • Other Issues

10th Nov 21	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • ID&V --power of attorney --court of protection • AML --cross border between two jurisdictions --other AML issues • Risk rating & CDD • Pandora papers • Regulator contact • Current threats • Road-to-normal issues • Other issues

8th Nov 21	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Michael Harden Netwealth Investments This meeting has been switched to a Zoom video conference call	Discussion Topics • Financial promotions: LinkedIn & Twitter • Due diligence policy/information requests • Costs & charges: slippage • Approaches to non-financial misconduct • IFPR • FCA interaction • Pandora papers • Road-to-normal issues • Other issues

13th Oct 21	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Steve Ackroyd KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Pandora papers • Fraud --ActionFraud v 159 hotline --current scams & threats • ID&V --powers of attorney --court of protection deputies --others • Regulator contact • Other issues

11th Oct 21	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Louise Stanway Ruffer LLP This meeting has been switched to a Zoom video conference call	Discussion Topics • Pandora papers • Dear CEO letter: wealth managers • HMT burdensome rules consultation • 10% drop in discretionary portfolios • Target market data: client needs and objectives • MiFID IFPR • Remuneration disclosure • Consumer duty proposal • FCA interaction • Other issues

20th Sep 21	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • FCA consumer duty proposal • ‘Road to normal’ update • Vulnerable customers • Complaint-logging targets • Complaint holding-letter content • Root-cause analysis • Fraud-related complaints • FOS interaction • Other issues Click here for event summary (pdf)

15th Sep 21	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG Guest Contributor Vivian Alfred KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics Featured Topic: "Building a Crypto-Asset Framework" -- the rise of crypto-financial crime risks -- AML risk assessment -- risk policies and procedures -- ongoing monitoring -- crypto-asset red flags -- enhanced due diligence -- crypto-asset reporting - a discussion led by Vivian Alfred, KPMG Other Topics: • Dear CEO letter: retail banks • Regulator contact • Current threats • Other issues

13th Sep 21	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Penny Rooney Killik & Co. This meeting has been switched to a Zoom video conference call	Discussion Topics • 'Back to normal' update -- homeworking: cohabitants disclosure -- collecting staff vaccine-status data -- networking hospitality (G&H) -- other 'back to normal' points • ESG -- MiFID II suitability (ESG preferences) -- other ESG points • IFPR progress • Slippage • PI cover limits • PIMFA sustainable finance working group • Breach/error forms – terminology • FCA -- consumer duty proposal -- FCA tolerance of limits for 'own-group products' -- general FCA interaction • Other issues

12th Jul 21	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus issues -- vulnerability -- complaint volumes -- fraud -- return to office • PSD2 v non-PSD2 complaints • Historical-advice complaints • FOS interaction -- Coronavirus-related insurance complaints -- change in approach to cases -- increases in T&U: limited companies -- other FOS issues Click here for event summary (pdf)

7th Jul 21	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG Guest Contributor Steve Ackroyd KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics Featured Topic: Fraud • current scams and threats • fraud risk assessments - a discussion led by Steve Ackroyd, KPMG Other Topics: • Change-of-address processes • Psychedelic-drug research firms • Share gifts to charities: due diligence • Regulator contact • Current threats • Other issues

5th Jul 21	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Sarah Meakes Alder IM This meeting has been switched to a Zoom video conference call	Discussion Topics • FCA - CP21/09: best execution - CP21/17: climate-related disclosures - self-identified transaction reporting corrections - other FCA points • Sharing compliance manual/policies • CV19 issues & ‘road to normal’ • TISA projects • Other issues

9th Jun 21	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Fraud typologies and volumes • Offshore investments ---BVI: corporate documents ---tax issues ---other offshore issues • AML ---post-Covid measures ---other AML points • Regulator contact • Current threats • Other issues

7th Jun 21	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Michael Harden Netwealth Investments This meeting has been switched to a Zoom video conference call	Discussion Topics • Road to ‘normal’ • PI Insurance • PIMFA working group on Green ISA Principles • ESG/SRI • IFPR • FCA --- duty of care (CP21/13) --- quarterly consultation --- other FCA points • Brexit issues • Other issues

17th May 21	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Roadmap for return to work • Impact of third parties on claims processes • Complaining language v. complaints • Complaints system comparisons • Vulnerability • FOS interaction • Brexit issues Click here for event summary (pdf)

12th May 21	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG Guest Contributor Poonam Yagnik, KPMG Simon Stiggear, KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics Featured Topic: ‘Tax Evasion’ -a discussion led by KPMG Other Topics: • Coronavirus impact ---vulnerable clients ---return to office ---other CV issues • Brexit issues • AML ---bank account tracing ---other AML issues • SFO letter: Patisserie Holdings • Regulator contact • Current threats • Other issues

10th May 21	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Mark de Ste Croix Raymond James This meeting has been switched to a Zoom video conference call	Discussion Topics • IFPR • CASS audits and experiences • SFDR • Financial promotion rules - high risk products (DP21/1) • TCFD reporting: non-listed firms • Portfolio risk management/calculation software • Return to office • FCA interaction • Other issues

14th Apr 21	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Brexit issues • AML --UAE: female address verification --bank account tracing --cryptocurrencies: clients being paid in tokens --other AML issues • Regulator contact • Current threats • Other issues --EU high risk 3rd country list replacement/FATF --SAR logon amendments

12th Apr 21	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Louise Stanway Ruffer LLP This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Brexit issues • IFPR rolling averages • DBS checks: service providers & check levels • Gifts & hospitality • FCA Quarterly Consultation CP21/5 --reporting conduct breaches to CISI --other points • FCA’s RegData platform • Remuneration code proportionality • FCA interaction • Other issues

15th Mar 21	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Vulnerability metrics • BI insurance • Other Coronavirus issues • IFA compensation claim rates • Complaint logging • FOS interaction Click here for event summary (pdf)

10th Mar 21	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG Guest Contributor Charlotte Miller KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics Featured Topic: “Cryptocurrencies & Cryptoassets” - a discussion led by Charlotte Miller, KPMG Other Topics: • Coronavirus impact • Brexit issues • Regulator contact • Current threats • Other issues

8th Mar 21	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Penny Rooney Killik & Co This meeting has been switched to a Zoom video conference call	Discussion Topics • Recording Zoom calls: PIMFA feedback • FCA vulnerable clients guidance • Regulatory references for previously unregulated SMFs • IFPR • Certification (or de-certification) for long term sick • SARs and DAMLs for securities transactions • Insurance requirements for Swiss representatives • Costs & charges: implicit costs • Price improvement • DB transfers: what’s included in costs of advice • Coronavirus impact • Brexit issues • FCA interaction • Other issues

10th Feb 21	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Brexit issues • PIMFA fraud trends paper • Cryptocurrency • US delisting of Chinese telcos • Psychedelic drug research stocks • SAR website problems • Regulator contact • Current threats • Other issues

8th Feb 21	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Sarah Meakes Alder IM This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Brexit issues --SFDR compliance --other Brexit issues • Vulnerable clients --dealing with corporates, trusts, PICs etc. --other vulnerability issues • FCA Market Watch 66: call monitoring • Liquidity reporting • Tracking, managing and recording regulatory/legal change • Approach to FCA ban on crypto currency investments • FCA Directory and non-execs • Assurance on PROD requirements on product governance • Transaction reporting: error notifications to the FCA • HNW certificates • FCA interaction • Other issues

18th Jan 21	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call	Discussion Topics • Vulnerability metrics • Coronavirus impact • Brexit impact • Business interruption cover • Embedding culture • Complaints timeframes • FOS interaction • Treasury consultation: future regulatory framework • Customer contact strategies Click here for event summary (pdf)

13th Jan 21	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Brexit issues --6MLD and the UK post Brexit? --other Brexit issues • Sanctions and the new OFAC designations (China) • Regulator contact • Current threats • Other issues

11th Jan 21	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Michael Harden Netwealth This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Brexit issues --FSCS coverage of EU funds --other Brexit issues • Compensation policy: non-SMF top earners and KRTs • FCA interaction • Other issues • Looking ahead to 2021

9th Dec 20	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG Guest Contributor Sally Felton & Tracey Carpenter CIFAS This meeting has been switched to a Zoom video conference call	Discussion Topics FEATURED TOPIC CIFAS and Financial Crime - a discussion led by Sally Felton & Tracey Carpenter -- CIFAS overview -- Inner threat programme -- Financial crime update OTHER TOPICS • Coronavirus impact • Brexit issues • Regulator contact • Current threats • Other issues

7th Dec 20	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Michael Harden Netwealth This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Brexit -- EU Sustainable Finance Disclosure Regulation (SFDR) -- data protection for EU customers post Brexit -- marketing -- other Brexit issues • COBS 16A.4: client access to online valuations • Telephone recording • EBA outsourcing guidance • FCA -- prudential requirements: data request -- other regulator interaction • Other issues • Looking ahead to 2021

16th Nov 20	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti Charter This meeting has been switched to a Zoom video conference call	Discussion Topics Featured Topic: Coronavirus & Vulnerable Customers - a discussion led by Equiniti Other Topics: • Other Coronavirus issues • FOS -- meeting post-mortem -- complaints relating to supplier delays -- other FOS interaction • PBA complaints • Complaint trends: looking ahead to 2021 • Digital landscape • Other points Click here for event summary (pdf)

11th Nov 20	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Brexit issues • Shareholder identification thresholds for ID&V • High-risk clients: address verification • FCA contact: investor-visa clients • Regulator contact -- recent update • Current threats • Other issues

9th Nov 20	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Louise Stanway Ruffer LLP This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact - vulnerable clients - other issues • Brexit issues - EU clients - transaction reporting: EU residents/employees - business travel visas - personal tax consequences - creation of UK establishment - staff working outside of UK due to COVID - other Brexit issues • Negative Sterling interest • BRRD II • Ban on investment instruments referencing crypto assets • In specie transfers and unit-class conversions (PS19/29) • FCA interaction • Other issues

14th Oct 20	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics Financial Crime Digest - a discussion led by KPMG Other Topics • Coronavirus impact • Brexit issues • Regulator contact • Current threats • Other issues

12th Oct 20	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Penny Rooney Killik & Co This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • US clients impact • Transaction reporting: deceased clients • SRD II • Best execution: instructions to ISA managers • Registering UK advisers marketing into Switzerland • Large FSCS levy increases • FCA interaction • Other issues

21st Sep 20	Complaints Handling	Zoom Call
Complaints Handling
Chairman Anthea Coulter Equiniti Charter Guest Contributor Adam Cochrane-Williams, FOS James Clements, FOS This meeting has been switched to a Zoom video conference call	Discussion Topics FOS SPECIAL MEETING - a discussion with the Financial Ombudsman Service Click here for event summary (pdf)

9th Sep 20	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Recent UK designations • Mauritius added to the EU high risk country list • Sanctions -- off-boarding clients -- other sanctions issues • Paying fraud victims, regardless of fault • Former occupations of retired clients • Cybercrime -- Global Cyber Alliance (GCA) -- other cyber issues • Third-party compliance solutions • AML/KYC: advisers using DFM • Regulator contact • Current threats • Other issues

7th Sep 20	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Sarah Meakes Alder IM This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact -- BCP/DRP reviews -- other CV19 issues • Transaction reporting: rejections • Vulnerable clients: new FCA guidance • SRD II: voting preference communication • Dear CEO letter: non-discretionary cash • Third-party compliance solutions • FCA interaction -- middle-name feedback -- other FCA contact • Other issues

13th Jul 20	Complaints Handling	Zoom Call
Complaints Handling
Chairman Gareth Menton Equiniti Charter This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Vulnerable customers • BI insurance • Productivity • FOS interaction • Digital landscape • Other points

8th Jul 20	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG Guest Contributor Steve Ackroyd Fraud Specialist KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics Featured Topic: “Fraud: Current Scams and Threats” - a discussion led by Steve Ackroyd, KPMG Other Topics: • Coronavirus impact • KYC refresh: future money movements • Fraudulent payment requests • FCA activities • Other issues

6th Jul 20	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Louise Stanway Ruffer LLP This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Diversity • Pre-trade cost disclosures • FCA prudential discussion paper • T&C: product permissions • Suitability: periodic KYC refresh • DAC 6 • Transaction reporting • SMR Form A • FCA interaction • Other issues

10th Jun 20	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Market abuse alerts • AI KYC and client on-boarding • FCA activities • Current threats • Other issues

8th Jun 20	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Sarah Meakes Alder IM This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Market abuse surveillance • Implementation of SRD II • SFTR and approach with Lombard loans • PA dealing • Flaws in the regulatory reference rules • Non-EEA approach with NMPIs and KID for PRIIPs • Trade/transaction reporting -- transaction reporting thresholds -- other transaction reporting issues • NMPIs and certified sophisticated investors • ESG progress • Impact of BoE negative rates • Other issues

18th May 20	Complaints Handling	Zoom Call
Complaints Handling
Chairman Gareth Menton Equiniti Charter This meeting has been switched to a Zoom video conference call	Discussion Topics CORONAVIRUS IMPACT • How firms have adapted? • Challenges and solutions • Impact on volumes/breach positions • Impact on customers --financial vulnerability --other vulnerabilities • FOS interaction during lockdown • Compensation awards for Covid-19 • Covid-19 cases: alleged mis-selling breaches • Judicial reviews for Covid-19 cases? • QA processes in lockdown OTHER ISSUES • Complaint definition (NACs) • Vulnerable customers --ex-gratia payment issues --other issues • Other FOS issues --general information sharing

13th May 20	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM/)
Chairman Jamie Spring KPMG Guest Contributor Halvor Wood KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics CORONAVIRUS IMPACT • Trader surveillance • Client verification • Increased cybercrime activity • Social media scams • Other challenges OTHER ISSUES • NCA National Strategic Assessment of Serious and Organised Crime • FCA activity • Current threats • Other points

11th May 20	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Louise Stanway Ruffer LLP This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Ex-post costs & charges • Voting • Video calls • Suitability reports & changes to discretionary mandates • Target markets • Other issues

27th Apr 20	The Cyber Club	Zoom Call
Cyber Club
Chairman Maya Goethals Deloitte This meeting has been switched to a Zoom video conference call	Discussion Topics CORONAVIRUS IMPACT • How firms have adapted • Challenges: cyber security; others • Firms' cyber positioning: mass homeworking • New or changed cyber risks • Rise in cyber crime • Other issues

9th Apr 20	Financial Crime	Zoom Call
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG This meeting has been switched to a Zoom video conference call	Discussion Topics CORONAVIRUS IMPACT • Due diligence and interim verification -- remote working constraints -- FCA guidance -- procedures being used by firms • Client impact -- existing clients -- signing up new clients • Increase in internal & external fraud • Other topics

6th Apr 20	Private Wealth Management	Zoom Call
Private Wealth Management
Chairman Penny Rooney Killik & Co. This meeting has been switched to a Zoom video conference call	Discussion Topics • Coronavirus impact • Inside information • Dear CEO letters • Client vulnerability guidance • Other issues

16th Mar 20	Complaints Handling	Cancelled
Complaints Handling
Chairman Gareth Menton Equiniti Charter Guest Contributor Adam Cochrane-Williams Financial Ombudsman Service Allianz Offices, 60 Gracechurch Street, London EC3V 0HR (map)	Discussion Topics Featured Topic: The Financial Ombudsman Service in 2020 -a discussion led by Adam Cochrane-Williams, Financial Ombudsman Service Other Topics: • Vulnerable customers • Digital landscape • Other points

9th Mar 20	Private Wealth Management	London
Private Wealth Management
Chairman Penny Rooney Killik & Co Howden Group Offices, One Creechurch Place, London, EC3A 5AF (map)	Discussion Topics • Coronavirus -- contingency plans -- other impact • Dear CEO letter: Alternatives • Trusts: £10m threshold & per se professional status • Allocated functions (pre-SMCR) • FCA interaction • Other points

3rd Mar 20	The Cyber Club	London
Cyber Club
Chairman Maya Goethals Deloitte Room 12.2, 12th Floor, Howden Group Offices, One Creechurch Place, London, EC3A 5AF (map)	Discussion Topics • Cloud usage & security • Operational resilience • Application security • Security impact of DevOps -- rise of audit findings in DevOps production access • Red Team testing: CBEST/CREST • Change management (inc. resulting incidents) • Management of third parties • Other issues

12th Feb 20	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG Guest Contributor David Burfoot KPMG Barbara Marx KPMG Room 12.2, 12th Floor, Howden Group Offices, One Creechurch Place, London, EC3A 5AF (map)	Discussion Topics Featured Topic: KPMG Fraud Barometer 2020 - discussion led by David Burfoot, KPMG Other Topics: • Sanctions • Market abuse • Jewellers & AML • FCA activity Click here for event summary (pdf)

10th Feb 20	Private Wealth Management	London
Private Wealth Management
Chairman Mark de Ste Croix Raymond James Room 14.24, 14th Floor, Howden Group Offices, One Creechurch Place, London, EC3A 5AF (map)	Discussion Topics • MiFID II --implicit costs --other MiFID II issues • Transaction reporting: decision makers • Dealing as principal • Russian clients • Benchmarks • Capacity for loss • RegTech • Vulnerable clients • FCA interaction • Other points

22nd Jan 20	Complaints Handling	London
Complaints Handling
Chairman Nash Ramjee Equiniti Charter Allianz Offices, 60 Gracechurch Street, London EC3V 0HR (map)	Discussion Topics • FOS interaction • Customer experience and complaint handling • Complaint data analytics and AI • Vulnerable customers • Social media Click here for event summary (pdf)

20th Jan 20	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • 5MLD: implementation & impact • Dual-nationality clients in high-risk jurisdictions • Documenting client-level AML/financial crime risk assessments • Due diligence questionnaires/requests • Sensitive employment industries: client self-select categories • Address verification • Current threats • Predictions for 2020 Click here for event summary (pdf)

13th Jan 20	Private Wealth Management	London
Private Wealth Management Group
Chairman Sarah Meakes Alder IM Howden Group Offices, One Creechurch Place, London, EC3A 5AF (map)	Discussion Topics • MiFID II: implicit costs • Periodic assessments of suitability • SM&CR: conduct rule breaches • SRD II • ESG • FCA interaction Click here for event summary (pdf)

20th Nov 19	The Cyber Club	London
Cyber Club
Chairman Yue Yang Marsh JLT Specialty Guest Contributor Ricardo Sueiras Amazon JLT’s Offices, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics Featured Topic: “Amazon & The Cloud” - a discussion led by Ricardo Sueiras, Amazon Other Topics: • Incident Response • Cyber threat intelligence • Red team tests • Active defence • Challenges in 2020 • Other points

18th Nov 19	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Melanie Ryan Morgan Lewis Morgan Lewis's Offices, Condor House, 5-10 St. Paul's Churchyard, London EC4M 8AL (map)	Discussion Topics • Policies & procedures • Adverse media screening tools • PA dealing controls • FCA activity • Looking ahead to 2020 Click here for event summary (pdf)

13th Nov 19	Complaints Handling	London
Complaints Handling
Chairman Naresh Ramjee Equiniti Charter Guest Contributor Tony Bennett MIND Anthea Coulter Equiniti Charter Allianz Offices, 60 Gracechurch Street, London EC3V 0HR (map)	Discussion Topics Featured Topic: ‘Vulnerability and MIND’ - a discussion led by Tony Bennett, MIND Other Topics: • FOS interaction • Other points Click here for event summary (pdf)

11th Nov 19	Private Wealth Management	London
Private Wealth Management
Chairman Louise Stanway Ruffer LLP JLT’s Offices, 8th Floor, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics • MiFID II costs & charges -- implicit costs: funds - swing pricing -- other points • SMCR -- SoRs: best practice comparisons -- fitness propriety certificates - training & assessments: NEDs, CPs -- other SMCR points • ESG/SRI • Classification of corporate trustees • FCA interaction -- duty of care -- other FCA points • Other points

23rd Oct 19	The Cyber Club	London
Cyber Club
Chairman Yue Yang Marsh JLT Specialty JLT’s Offices, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics • Cyber security maturity assessment • Incident response • Cyber threat intelligence • The cloud -- managing the cloud -- cloud services and material outsourcing • Managing vendor cyber risk • Management frameworks: controls for insider threats • Service accounts: managing cyber risk • Active cyber defence • Other points

17th Oct 19	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Melanie Ryan Morgan Lewis LLP Morgan Lewis's Offices, Condor House, 5-10 St. Paul's Churchyard, London EC4M 8AL (map)	Discussion Topics • Transaction monitoring • Electronic checks & facial recognition • Periodic AML reviews • External CPD recommendations • Cannabis • FCA activity Click here for event summary (pdf)

14th Oct 19	Private Wealth Management	London
Private Wealth Management
Chairman Sarah Meakes Alder IM JLT’s Offices, 8th Floor, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics • MiFID II -- costs & charges -- transaction reporting rejections • CASS: rounding • SMCR -- SoRs -- certification • ESG/SRI preparations • Outsourcing risk Click here for event summary (pdf)

23rd Sep 19	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Chris Warren-Smith Morgan Lewis Morgan Lewis's Offices, Condor House, 5-10 St. Paul's Churchyard, London EC4M 8AL (map)	Discussion Topics • FCA visit feedback • Transaction monitoring • Verifying UK/EU/EEA regulated entities • Fraud reporting • Cannabis Click here for event summary (pdf)

17th Sep 19	Complaints Handling	London
Complaints Handling
Chairman Gareth Menton Equiniti Charter Allianz Offices, 60 Gracechurch Street, London EC3V 0HR (map)	Discussion Topics • PPI deadline • Complaint volumes • FOS interaction • Vulnerable customers • Measuring productivity • Complaint surveys • Digital landscape Click here for event summary (pdf)

16th Sep 19	Private Wealth Management	London
Private Wealth Management
Chairman Penny Rooney Killik & Co. JLT’s Offices, 8th Floor,The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics • Costs & charges • ESMA call for evidence on costs & charges • AIF sales to retail clients under old exemptions • Cannabis-related investments • SMCR • Video call recording • Other points Click here for event summary (pdf)

11th Jul 19	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Melanie Ryan Morgan Lewis Morgan Lewis's Offices, Condor House, 5-10 St. Paul's Churchyard, London EC4M 8AL (map)	Discussion Topics • FCA visit feedback • FCA enforcement update • Risk assessments • SDD • Current threats Click here for event summary (pdf)

9th Jul 19	Complaints Handling	London
Complaints Handling
Chairman Gareth Menton Equiniti Charter Guest Contributor Martin Schofield MSN City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics FEATURED TOPIC: "Understanding Vulnerable Customer Risk" - a discussion led by Martin Schofield, MSA OTHER TOPICS: • FOS interaction • DA complaint return challenges • Complaint forwarding • Other points Click here for event summary (pdf)

8th Jul 19	Private Wealth Management	London
Private Wealth Management
Chairman Michael Harden Netwealth Marsh JLT’s Offices, 8th Floor, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics • Risk Assessments • MiFID II -- costs & charges -- information sharing • GDPR & fraud risk Click here for event summary (pdf)

18th Jun 19	The Cyber Club	London
Cyber Club
Chairman Monica Tigleanu Marsh JLT Specialty Guest Contributor Adelle Gruber BRIT Global Specialty Yue Yang Marsh McLennan Marsh JLT’s Offices, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics “Cyber Risk Rating and Methodology in the Insurance Market “ - a discussion led by Adelle Gruber, BRIT Global Specialty Click here for event summary (pdf)

17th Jun 19	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Chris Warren-Smith Morgan Lewis Morgan Lewis's Offices, Condor House, 5-10 St. Paul's Churchyard, London EC4M 8AL (map)	Discussion Topics • Insider-threat mitigation • SMCR: SMF17 function • FCA visits • Verification • Processing false-positives • Payment policies • Current threats Click here for event summary (pdf)

10th Jun 19	Private Wealth Management	London
Private Wealth Management
Chairman Sarah Meakes Alder Investment Management Marsh JLT’s Offices, 8th Floor, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics • MiFID II: product governance • Interaction with the media • SRD II • SMCR • Risk appetite and risk assessments • AML: TM triggers Click here for event summary (pdf)

20th May 19	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Melanie Ryan Morgan Lewis Morgan Lewis's Offices, Condor House, 5-10 St. Paul's Churchyard, London EC4M 8AL (map)	Discussion Topics • AML -- 5MLD -- UBO information -- other AML points • On-boarding • Third-party payments • Current threats • Other topics Click here for event summary (pdf)

14th May 19	Complaints Handling	London
Complaints Handling
Chairman Gareth Menton Equiniti Charter Guest Contributor Neil Martin The First Word City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics Featured Topic The Secret to First Contact Resolution Neil Martin, The First Word Other Topics • FOS -- eligibility changes -- other points • Financial loss • Complaints via third parties • Social media • Other issues Click here for event summary (pdf)

13th May 19	Private Wealth Management	London
Private Wealth Management
Chairman Louise Stanway Ruffer LLP JLT’s Offices, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics • MiFID II: target market and annual reports • Conflicts of interest: employees as trustees • PA dealing • Discretionary portfolios and professional-only products • SMCR • ESG activity • Cannabis-related investments Click here for event summary (pdf)

17th Apr 19	The Cyber Club	London
Cyber Club
Chairman Monica Tigleanu JLT Specialty Guest Contributor Melanie Ryan Morgan Lewis JLT’s Offices, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics • MI - what do boards want? • Vendor security due diligence • Operational resilience Click here for event summary (pdf)

15th Apr 19	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Ian Pegram Morgan Lewis Morgan Lewis's Offices, Condor House, 5-10 St. Paul's Churchyard, London EC4M 8AL (map)	Discussion Topics • FCA financial crime visits • Financial crime risk assessments • Trust beneficiaries • Current threats • FCA activity Click here for event summary (pdf)

8th Apr 19	Private Wealth Management	London
Private Wealth Management
Chairman Penny Rooney Killik & Co. Guest Contributor Melanie Ryan Morgan Lewis JLT’s Offices, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics • MiFID II - costs & charges - rebates - product governance - best execution • Suitability • SMCR - reporting lines - project progress • FCA interaction Click here for event summary (pdf)

18th Mar 19	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Melanie Ryan Morgan Lewis Morgan Lewis's Offices, Condor House, 5-10 St. Paul's Churchyard, London EC4M 8AL (map)	Discussion Topics • FCA financial crime visits • AML • Market abuse monitoring • Transaction monitoring systems • Cannabis • Current threats & general points Click here for event summary (pdf)

12th Mar 19	Complaints Handling	London
Complaints Handling
Chairman Gareth Menton Equiniti Charter City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FCA: SME access to FOS • Quality controls • Materiality/complaint definition • Redress guidance • Abusive customers • Digital landscape • FOS interaction Click here for event summary (pdf)

11th Mar 19	Private Wealth Management	London
Private Wealth Management
Chairman Michael Harden Netwealth JLT’s Offices, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics • MiFID - RTS27/28 reports - costs & charges • SMCR: FCA insights • Wind-down planning • Prospective clients: data retention • Brexit • FCA financial crime visits Click here for event summary (pdf)

20th Feb 19	The Cyber Club	London
Cyber Club
Chairman Sarah Stephens JLT Specialty Guest Contributor Monica Tigleanu JLT Specialty JLT’s Offices, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics • Cyber resilience • Regulatory guidance • Mondelez /Zurich case • User-friendly email encryption • Unstructured data Click here for event summary (pdf)

18th Feb 19	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Chris Warren-Smith Morgan Lewis Guest Contributor William Yonge Morgan Lewis Morgan Lewis's Offices, Condor House, 5-10 St. Paul's Churchyard, London EC4M 8AL (map)	Discussion Topics • Brexit • Cannabis and financial crime • Market abuse: call/text monitoring • Artificial intelligence • Current threats Click here for event summary (pdf)

12th Feb 19	Complaints Handling	Edinburgh
Complaints Handling
Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FCA activity • Open banking and strong customer authentication • Account/complaints amalgamation -- open banking impact -- data sharing • Section 75 claims/complaints • FOS interaction • Vulnerable customers • Other issues

11th Feb 19	Private Wealth Management	London
Private Wealth Management
Chairman Louise Stanway Ruffer JLT’s Offices, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics • MiFID -- costs and charges -- EMT V2 • Cross-border solicitation into Russia. • SMCR • Walker Crips FOS decision • Brexit • FCA interaction Click here for event summary (pdf)

21st Jan 19	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Melanie Ryan Morgan Lewis Morgan Lewis's Offices, Condor House, 5-10 St. Paul's Churchyard, London EC4M 8AL (map)	Discussion Topics Enforcement Trends in Financial Crime - a discussion led by Morgan Lewis Other Topics • Tier-1 investor visas • Sanctions • Facilitation of tax evasion • Market abuse • Current threats Click here for event summary (pdf)

16th Jan 19	Complaints Handling	London
Complaints Handling
Chairman Michael Gregor RBS City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FCA activity -- complainant eligibility -- SME progress -- FOS proposed award increases -- delegated authorities: complaint returns • Social media • FOS interaction • Vulnerable customers Click here for event summary (pdf)

14th Jan 19	Private Wealth Management	London
Private Wealth Management
Chairman Penny Rooney Killik & Co. Guest Contributor Chris Warren-Smith Morgan Lewis JLT’s Offices, The St Botolph Building, 138 Houndsditch, London EC3A 7AW (map)	Discussion Topics • Brexit preparations • MIFID costs & charges -- annual disclosures -- implicit costs • SMCR preparations • Referral schemes/inducements • Sustainability • FCA interaction Click here for event summary (pdf)

12th Dec 18	Financial Crime	London
Financial Crime Group (AM/IM/WM)
Chairman Jamie Spring KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FATF UK mutual evaluation • Tier-1 investor visas • Market-abuse monitoring • 2019 Challenges Click here for event summary (pdf)

10th Dec 18	Complaints Handling	Edinburgh
Complaints Handling
Chairman Naresh Ramjee Equiniti Charter Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Vulnerable customers • Pricing complaints • New SME eligibility criteria • App scams • Artificial intelligence • GDPR • FOS interaction • Other points Click here for event summary (pdf)

26th Nov 18	Complaints Handling	London
Complaints Handling
Chairman Matthew Whittaker Fidelity City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Vulnerable customers • Pricing complaints • New SME eligibility criteria • App scams • GDPR • Artificial intelligence • FOS interaction • Other issues Click here for event summary (pdf)

14th Nov 18	Financial Crime	London
Financial Crime Group (AM/IM/WM)
Chairman Jamie Spring KPMG Guest Contributor David Ferbrache KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Cyber Security • Internal fraud training • Beneficial ownership Click here for event summary (pdf)

12th Nov 18	Private Wealth Management	London
Private Wealth Management
Chairman Mark de Ste Croix Raymond James Guest Contributor Sarah Stephens JLT Specialty Melanie Ryan Morgan Lewis City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FCA market abuse visits • SMCR • Cyber insurance • Brexit • Stock due diligence • Berkley Burke judicial review Click here for event summary (pdf)

29th Oct 18	Complaints Handling	Edinburgh
Complaints Handling
Chairman Gareth Menton Equiniti Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FCA Papers • Vulnerable clients • Artificial intelligence • GDPR complaints • FOS interaction Click here for event summary (pdf)

24th Oct 18	The Cyber Club	London
Cyber Club
Chairman Keith Dewey DataGRC Guest Contributor Sarah Stephens JLT Group City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Recent News -- BA breach -- Tesco 2016 fine: was it a breach? -- other breaches & fines • Cyber-attack trends • GDPR -- general impact of GDPR -- internal spear phishing -- breach report frequency -- other issues • Data-loss risk assessments: due diligence • Cyber insurance • Cyber security: reporting to the board • Brexit impact • Cyber dashboards • UK regulator: cloud interest • Email -- security -- risk -- encryption • Other issues

17th Oct 18	Financial Crime	London
Financial Crime Group (AM/IM/WM)
Chairman Michael Harden Henderson Rowe City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Sanctions • SDD: data currency • FCA: Recent PEP clarification • Verifying clients' bank details • Fraud Click here for event summary (pdf)

15th Oct 18	Private Wealth Management	London
Private Wealth Management
Chairman Penny Rooney Killik & Co Guest Contributor Melanie Ryan Morgan Lewis City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FCA reviews --MAR/STOR --PA dealing --value for money • Brexit • SMCR • Product governance • Other issues Click here for event summary (pdf)

24th Sep 18	Complaints Handling	London
Complaints Handling
Chairman Matthew Whittaker Fidelity City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FOS • Complaints: price/premium increases • GDPR • POS: non-financial injustice update • Complaints via third parties • Vulnerability Click here for event summary (pdf)

19th Sep 18	Financial Crime	London
Financial Crime Group (AM/IM/WM)
Chairman Jamie Spring KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Recent AML guidance & best practice • FATF guidance • AML policies for affiliates and funds • Due diligence: non-clients • Tracing Click here for event summary (pdf)

17th Sep 18	Private Wealth Management	London
Private Wealth Management
Chairman Louise Stanway Ruffer LLP Guest Contributor Sam Vardy JLT Speciality Melanie Ryan Morgan Lewis City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Costs & charges • Brexit • FCA investigations • Robo-Advice • GDPR Click here for event summary (pdf)

20th Aug 18	Complaints Handling	Edinburgh
Complaints Hamdling
Chairman Michael Gregor RBS Guest Contributor Natasha MacKinnon The Samaritans Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics FEATURED TOPIC “Vulnerable Customers and the Samaritans” - a discussion led by Natasha MacKinnon, The Samaritans OTHER TOPIC • Post Office complaints Click here for event summary (pdf)

10th Jul 18	Private Wealth Management	London
Private Wealth Management
Chairman Louise Stanway Ruffer City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Suitability • PoA and discretionary accounts • ICAAP • GDPR • SMCR Click here for event summary (pdf)

9th Jul 18	Complaints Handling	London
Complaints Handling
Chairman Adam Cooper Equiniti Charter City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FPOC best practice • Training and competence • Customer vulnerability • Measuring the customer-experience journey • Complaint volumes • FOS interaction • GDPR • Other points Click here for event summary (pdf)

25th Jun 18	Complaints Handling	Edinburgh
Complaints Handling
Chairman Fiona Middlemiss Alan Steel AM Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Materiality and financial loss • FOS interaction • GDPR • Vulnerability • Customer experience performance Click here for event summary (pdf)

13th Jun 18	Financial Crime	London
Financial Crime Group (AM/IM/WM)
Chairman Jamie Spring KPMG Guest Contributor Anna Maizite KPMG Barbara Marx KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics FEATURED TOPICS: • Russian sanctions • Suspicious activity reporting OTHER TOPICS: • Third-party EDD providers • Preventing rejected clients opening accounts • Current threats Click here for event summary (pdf)

11th Jun 18	Private Wealth Management	London
Private Wealth Management
Chairman Edouard Bassil Baringa Partners City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Monitoring & monitoring tools • Annual compliance reports • Suitability reports: advisory trading • Requesting sample transaction reports from the FCA Click here for event summary (pdf)

21st May 18	Complaints Handling	London
Complaints Handling
Chairman Adam Cooper Equiniti Charter City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics FEATURED TOPIC “Vulnerable Customers and the Samaritans” - a discussion led by Ronnie Dennison, The Samaritans OTHER TOPICS • Materiality and financial Loss • Quality assurance Click here for event summary (pdf)

16th May 18	Financial Crime	London
Financial Crime Group (AM/IM/WM)
Chairman Jamie Spring KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Sanctions • EDD third-party report reliability • Fraud and vulnerable clients • Other issues • Next month’s featured topic Click here for event summary (pdf)

14th May 18	Private Wealth Management	London
Private Wealth Management
Chairman Edouard Bassil Baringa Partners City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics FEATURED TOPIC "Rethinking the Compliance Function" - a discussion led by Baringa Partners OTHER TOPICS • MiFID II • GDPR • Culture Click here for event summary (pdf)

24th Apr 18	The Cyber Club	London
Cyber Club
Chairman Andy Waterhouse RSA Security Guest Contributor Rashmi Knowles RSA Security City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Current developments • RSA conference update • GDPR --appointment of DPO criteria --assessment questionnaires --other issues • Vulnerability management • Biometrics • CBEST and other security benchmarking services • Cyber risk agencies • Active defence • Other topics

23rd Apr 18	Complaints Handling	Edinburgh
Complaints Handling
Chairman Adam Cooper Equiniti Charter Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Vulnerable customers • Logging complaints at FPOC • Benchmarking customer experience • GDPR impact • FOS interaction • Next meeting’s ‘feature topic’ Click here for event summary (pdf)

18th Apr 18	Financial Crime	London
Financial Crime Group (AM/IM/WM)
Chairman Jamie Spring KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Sanctions • FCA visits • Source of revenue • Policies for bankers' cheques & drafts • Current threats • Other points Click here for event summary (pdf)

16th Apr 18	Private Wealth Management	London
Private Wealth Management
Chairman Edouard Bassil Baringa Partners City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II -- conflicts of interest -- inducements -- product governance and target market • Market abuse: FCA visits • Vulnerable clients • Email & call monitoring • GDPR • Next meeting: feature topic Click here for event summary (pdf)

19th Mar 18	Complaints Handling	London
Complaints Handling
Chairman Luke Gillat Equiniti City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FOS Channel 4 investigation • ‘GDPR: Impact on Complaints’ survey • Vulnerable customers • FCA complaint definition Click here for event summary (pdf)

14th Mar 18	Financial Crime	London
Financial Crime Group (AM/IM/WM)
Chairman Anthony Brown KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Vulnerable clients • Data analytics • Sanctions • Evidencing SOW/SOF • Current threats Click here for event summary (pdf)

12th Mar 18	Private Wealth Management	London
Private Wealth Management
Chairman Daryl Close Baringa Partners City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • Cross-border issues • Criminal & credit checks on employees • PRIIPs • Product governance • Vulnerable clients Click here for event summary (pdf)

26th Feb 18	Complaints Handling	Edinburgh
Complaints Handling
Chairman Adam Cooper Equiniti Charter Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • GDPR: impact on complaints • Vulnerable customers • FOS interaction • Front-line complaints resolution • PSD2 • Complaints via NPS Surveys & Trustpilot Click here for event summary (pdf)

21st Feb 18	Financial Crime	London
Financial Crime Group (AM/IM/WM)
Chairman Jamie Spring KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Onboarding --PEP screening --EDD and differing data-retention rules --adverse media checks --general points • Platforms and suspicious transactions • FCA multi-firm reviews • Other points Click here for event summary (pdf)

19th Feb 18	Private Wealth Management	London
Private Wealth Management
Chairman Simon Wilson Baringa Partners City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II --valuation statements and suitability review requirements --costs & charges: SCM dossier --research controls --inducements/hospitality --showing performance on valuations • EBA prudential regime proposal • Vulnerable clients Click here for event summary (pdf)

5th Feb 18	The Cyber Club	London
Cyber Club
Chairman Jonathan Gill VP EMEA RSA Security Guest Contributor Andy Waterhouse Director RSA Security City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Current threats • GDPR • 'Threat v risk' emphasis • Artificial intelligence • Vulnerability management Click here for event summary (pdf)

29th Jan 18	Complaints Handling	London
Complaints Handling
Chairman Luke Gillat Equiniti Charter City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FOS: Treasury sub-committee meeting • GDPR • Front-line complaints resolution • Complaints via social media • Vulnerable customers • FOS and vulnerability • Complaints return: FCA feedback Click here for event summary (pdf)

16th Jan 18	Financial Crime	London
Financial Crime Group (AM/IM/WM)
Chairman Jamie Spring KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Fraud and vulnerable clients • Paradise papers • FCA visits • Financial crime data return • Priorities and risks in 2018 Click here for event summary (pdf)

15th Jan 18	Private Wealth Management	London
Private Wealth Management
Chairman Mark de Ste Croix Raymond James City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • GDPR • Vulnerable clients Click here for event summary (pdf)

13th Dec 17	Financial Crime	London
Financial Crime Group (AM/IM/WM)
Chairman Anthony Brown KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Fraud & vulnerable clients • AML • Sanctions • SOW/SOF • Current threats • 2018: looking ahead Click here for event summary (pdf)

4th Dec 17	Complaints Handling	Edinburgh
Complaints Handling
Chairman Adam Cooper Equiniti Charter Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • GDPR • PSD2 • MiFID II • FOS interaction Click here for event summary (pdf)

27th Nov 17	Complaints Handling	London
Complaints Handling
Chairman Luke Gillatt Equiniti Charter City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FOS interaction • Root-cause analysis • GDPR • MiFID II • Contextualisation • Social Media Click here for event summary (pdf)

20th Nov 17	The Cyber Club	London
Cyber Club
Chairman Jonathan Gill RSA Security City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Active defence • Cloud migration • FCA & Cyber • GDPR Click here for event summary (pdf)

15th Nov 17	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG Guest Contributor David Burfoot KPMG Anthony Brown KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • The KPMG Fraud Barometer • Client risk assessments • De-risking • MiFID II/Suitability/AML • Criminal Finances Act • Sharing intelligence • Fraud prevention Click here for event summary (pdf)

13th Nov 17	Private Wealth Management	London
Private Wealth Management
Chairman Fiona Palmer Baringa Partners City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • GDPR • Lasting power of attorney and DFM authority • Reporting of conduct rule breaches • PRIIPs Click here for event summary (pdf)

30th Oct 17	Complaints Handling	Edinburgh
Complaints Handling
Chairman Adam Cooper Equiniti Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FCA contextualisation • PSD2 • MiFID II • GDPR • FOS interaction • Root-cause analysis Click here for event summary (pdf)

16th Oct 17	Private Wealth Management	London
Private Wealth Management
Chairman Ben Leighton Baringa Partners City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • SMCR • FCA thematic reviews • GDPR Click here for event summary (pdf)

2nd Oct 17	The Cyber Club	London
Cyber Club
Chairman Jonathan Gill RSA Security Guest Contributor Gareth Pritchard RSA Security City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics SOC MATURITY LEVELS - a discussion led by Gareth Pritchard, RSA Security OTHER TOPICS • Equifax breach • Deloitte breach • SWIFT CSP attestation challenges • GDPR Click here for event summary (pdf)

25th Sep 17	Complaints Handling	London
Complaints Handling
Chairman Adam Cooper Equiniti City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • PSD2 impact • FOS Interaction • Complaints team structures • Social media complaints • GDPR impact • Root-cause analysis • Complaint reports Click here for event summary (pdf)

13th Sep 17	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Failure to prevent tax evasion • Combining crime teams • Data analytics • Voice biometrics • Country risk assessments • Current threats • General points Click here for event summary (pdf)

11th Sep 17	Private Wealth Management	London
Private Wealth Management
Chairman Ben Leighton Baringa Partners City of London Club, 19 OLd Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • SMCR • Conduct risk management • FAMR • Platform-market review Click here for event summary (pdf)

4th Sep 17	The Cyber Club	London
Cyber Club
Chairman Jonathan Gill VP EMEA RSA Security Guest Contributor Duncan Brown AVP, European Security Practice IDC City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics PART ONE Security at the Speed of Business -a presentation and discussion led by Duncan Brown, IDC PART TWO GDPR - A Deeper Dive Click here for event summary (pdf)

21st Aug 17	Complaints Handling	Edinburgh
Complaints Handling
Chairman Adam Cooper Equiniti Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FOS: London meeting feedback • PSD2 • External reporting • Materiality • General points Click here for event summary (pdf)

13th Jul 17	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman James Grant KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FCA AML questionnaire • Supplier due diligence • Proof of domicile • AML transaction monitoring • Current threats • General points Click here for event summary (pdf)

12th Jul 17	Private Wealth Management	London
Private Wealth Management
Chairman Chris Taylor Baringa Partners City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • SMCR Click here for event summary (pdf)

10th Jul 17	Complaints Handling	London
Complaints Handling
Chairman John Palman Equiniti Charter Guest Contributor Caroline Mitchell Financial Ombudsman Service James Clements Financial Ombudsman Service City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics FOS:THE NEW STRUCTURE - a discussion with the Financial Ombudsman Service Click here for event summary (pdf)

26th Jun 17	Complaints Handling	Edinburgh
Complaints Handling
Chairman John Palman Equiniti Charter Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • PSD2 • Complaint policy reviews • Regulator feedback • FOS interaction --new structure --early consent approach --D&I payments --other points Click here for event summary (pdf)

13th Jun 17	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • 4MLD • Qatar • Criminal Finances Act • Current threats Click here for event summary (pdf)

12th Jun 17	Private Wealth Management	London
Private Wealth Management
Chairman Emily Farrimond Baringa Partners City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II - new product governance guidelines - research - suitability • GDPR • General points Click here for event summary (pdf)

5th Jun 17	The Cyber Club	London
Cyber Club
Chairman Jonathan Gill VP EMEA RSA Security Guest Contributor Andy Waterhouse Director RSA Security City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Current threats/developments • Cyber risk appetite • GDPR • Cyber risk ownership Click here for event summary (pdf)

22nd May 17	Complaints Handling	London
Complaints Handling
Chairman John Palman Equiniti City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Vulnerability • Root-cause analysis • FOS interaction • GDPR • Other points Click here for event summary (pdf)

17th May 17	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • OPBAS • GDPR • Cybercrime • Vulnerable clients • Current threats Click here for event summary (pdf)

15th May 17	Private Wealth Management	London
Private Wealth Management
Chairman Ben Reid Baringa Partners City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • 4MLD • GDPR • Management/governance compliance MI • FAMR: new FCA guidance Click here for event summary (pdf)

24th Apr 17	Complaints Handling	Edinburgh
Complaints Handling
Chairman John Palman Equiniti Guest Contributor Brian Fitzpatrick GDPR Consultant Equiniti Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Vulnerability • PSD2: FCA Consultation • Root cause analysis • FOS interaction • GDPR Click here for event summary (pdf)

3rd Apr 17	The Cyber Club	London
Cyber Club
Chairman Jonathan Gill VP EMEA RSA Security Guest Contributor Rashmi Knowles Chief Security Architect, EMEA RSA Security City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • GDPR • Cyber security strategies: --measuring effectiveness --reporting to the board • Deception technologies • Active cyber defence Click here for event summary (pdf)

27th Mar 17	Complaints Handling	London
Complaints Handling
Chairman John Palman Equiniti City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • PS17/3 - PPI guidance • Complaints data publication • Vulnerable clients • FOS: new working practices • GDPR • Social media Click here for event summary (pdf)

16th Mar 17	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • 4MLD • GDPR • Cybercrime • Information sharing • Current threats Click here for event summary (pdf)

13th Mar 17	Private Wealth Management	London
Private Wealth Management
Chairman Sophia Fountoukidis Baringa Partners City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • Definition of advice • SMCR • Vulnerable Clients • GDPR Click here for event summary (pdf)

6th Mar 17	The Cyber Club	London
Cyber Club
Chairman Jonathan Gill VP EMEA RSA Security Guest Contributor Rashmi Knowles Chief Security Architect, EMEA RSA Security City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • RSA Conference update • Supply chain risk • Translating compliance into security Click here for event summary (pdf)

27th Feb 17	Complaints Handling	Edinburgh
Complaints Handling
Chairman John Palman Equiniti Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Vulnerability • PSD2 • FOS interaction Click here for event summary (pdf)

15th Feb 17	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Richard Lowe KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Russian sanctions • Tax-evasion responsibilities • KYC on-boarding systems • Debit card fraud • 4MLD • GDPR • FCA AML thematic visit • Other issues Click here for event summary (pdf)

13th Feb 17	Private Wealth Management	London
Private Wealth Management
Chairman Daniel Golding Baringa Partners City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • GDPR • Vulnerability • MiFID II • FCA AML Review Click here for event summary (pdf)

6th Feb 17	The Cyber Club	London
Cyber Club
Chairman Jonathan Gill VP EMEA RSA Security Guest Contributor Rashmi Knowles Chief Security Architect, EMEA RSA Security City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Gathering intelligence --general points --communicating news --making predictions • Building a SOC • Training and awareness • Defining risk appetite Click here for event summary (pdf)

30th Jan 17	Complaints Handling	London
Complaints Handling
Chairman John Palman Equiniti Charter City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Vulnerability • SRC progress • Expressions of dissatisfaction • FCA complaints returns Click here for event summary (pdf)

18th Jan 17	Financial Crime	London
Financial Crime (AM/IM/WM)
Chairman Jamie Spring KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Gathering intelligence • FCA financial crime data request • Insider threats • Preparing for the Modern Slavery Act Click here for event summary (pdf)

16th Jan 17	Private Wealth Management	London
Private Wealth Management
Chairman Paul Mihajlovic Baringa Partners Guest Contributor Greg Pastore Baringa Partners City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • AML: periodic review of non-HR/non-PEP clients • Positive compliance incentives • GDPR • General points Click here for event summary (pdf)

7th Dec 16	Financial Crime	London
Financial Crime Group
Chairman Richard Lowe Senior Manager, Risk Consulting KPMG Guest Contributor Phillip Ly Manager, Risk Consulting KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Criminal Finances Bill/4MLD • Risk rating countries • Intelligence v information • Current threats Click here for event summary (pdf)

5th Dec 16	Complaints Handling	Edinburgh
Complaints Handling
Chairman John Palman Equiniti Charter Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • Vulnerability policies • Reporting of reopened complaints • MiFID II impact • PSD2 impact • Complaints oversight • Other issues Click here for event summary (pdf)

28th Nov 16	Complaints Handling	London
Complaints Handling
Chairman John Palman Equiniti Charter The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • SRCs • Materiality assessments • Impact of new regulations • GDPR/PSD2/MiFID II • FOS interaction • Vulnerability Click here for event summary (pdf)

21st Nov 16	The Cyber Club	London
The Cyber Club
Chairman Mark Waghorne Senior Manager, Cyber Security KPMG Guest Contributor Rashmi Knowles Chief Security Architect, EMEA RSA Security The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • RSA conference update • Cyber & fraud crossover • Working with third parties • Automated detection • Insider threats • Information sharing Click here for event summary (pdf)

16th Nov 16	Financial Crime	London
Finacial Crime Group
Chairman Jamie Spring KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Preparing for the 4MLD • FCA financial crime conference round up • Trending financial crime news • Other issues Click here for event summary (pdf)

14th Nov 16	Private Wealth Management	London
Private Wealth Management
Chairman David FitzGerald Director Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II investment research • Updating KYC • Client categorisation • Performance dispersion • Assessments of clients’ tax positions • Data security • General points Click here for event summary (pdf)

24th Oct 16	Complaints Handling	Edinburgh
Complaints Handling
Chairman Brian Fitzpatrick Equiniti Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • London FOS meeting update • Impact of new regulations: -- MiFID II -- GDPR -- PSD 2 • Vulnerability • Other issues Click here for event summary (pdf)

17th Oct 16	Private Wealth Management	London
Private Wealth Management
Chairman David FitzGerald Director Baringa Partners The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • MiFID II • Gifts & inducements • SFTR • PA dealing • Vulnerable clients • General points Click here for event summary (pdf)

12th Oct 16	Financial Crime	London
Financial Crime Group
Chairman Jamie Spring KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • 4th Money Laundering Directive • GDPR • Data analytics • Other issues Click here for event summary (pdf)

3rd Oct 16	The Cyber Club	London
The Cyber Club
Chairman Paul Taylor Partner KPMG Guest Contributor Ruth Anderson KPMG The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics PRESENTATION/DISCUSSION "Security Testing – from basic traditional penetration testing to effective Red Team attack” - led by Ruth Anderson, KPMG OTHER TOPICS • NIST standard • Supply chain risk • Risk & control assessments Click here for event summary (pdf)

26th Sep 16	Complaints Handling	London
Complaints Handling
Chairman Brian Fitzpatrick Equiniti Guest Contributor Caroline Mitchell Lead Ombudsman Financial Ombudsman Service The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics FOS UPDATE A Discussion with the Financial Ombudsman Service Click here for event summary (pdf)

14th Sep 16	Financial Crime	London
Financial Crime Group
Chairman Jamie Spring KPMG Guest Contributor Phil Ly KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Sanctions screening • 4th Money Laundering Directive • FCA financial crime reporting • GDPR • Source of funds/wealth • HMRC: proposed corporate tax-evasion responsibilities Click here for event summary (pdf)

12th Sep 16	Private Wealth Management	London
Private Wealth Management
Chairman David FitzGerald Baringa The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • Brexit • PRIIPs • FCA suitability review • 4th money laundering directive • HMRC in-specie pension contributions • Other issues Click here for event summary (pdf)

5th Sep 16	The Cyber Club	London
The Cyber Club
Chairman Mark Waghorne Senior Manager, Cyber Security KPMG Guest Contributor Andy Waterhouse RSA Security The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics PRESENTATION/DISCUSSION GDPR and Cyber Security Strategy - led by Andy Waterhouse, RSA Security OTHER TOPICS • Threat intelligence • Managing insider threats Click here for event summary (pdf)

22nd Aug 16	Complaints Handling	Edinburgh
Complaints Handling
Chairman Michael Gregor RBS Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • Brexit • PS15/19 • PSD 2 impact • FOS interaction Click here for event summary (pdf)

12th Jul 16	Financial Crime	London
Financial Crime Group
Chairman Nikhil Manek KPMG The London Capital Club, 15 Abchurch Lane, London, EC4N 7BW (map)	Discussion Topics • Brexit • Panama papers • Cybercrime • Due diligence Click here for event summary (pdf)

11th Jul 16	Complaints Handling	London
Complaints Handling
Chairman Mark Rice Equiniti Charter The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • PS15/19 implementation experiences • PSD 2 - early thoughts • FOS interaction • Brexit Click here for event summary (pdf)

4th Jul 16	Private Wealth Management	London
Private Wealth Management
Chairman Chris Taylor Director Baringa Partners The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • MiFID II • PRIIPs • FCA suitability review • EC Benchmarks Regulation • Brexit Click here for event summary (pdf)

27th Jun 16	Complaints Handling	Edinburgh
Complaints Handling
Chairman Mark Rice Equiniti Charter Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • PS15/19 • PSD 2 • Ring fencing • FOS interaction • Brexit • Other issues Click here for event summary (pdf)

23rd May 16	Complaints Handling	London
Complaints Handling
Chairman Mark Rice Equiniti Charter The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • SRCs • Complaint definitions • Interpretation of financial loss • ADR/ODR • FOS interaction • Vulnerable customers Click here for event summary (pdf)

16th May 16	Private Wealth Management	London
Private Wealth Management
Chairman Chris Taylor Director Baringa Partners The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • FCA inducements review • AML: FCA reaction to Panama Papers • Suitability • MAR: investment recommendations • MiFID II & PRIPs Click here for event summary (pdf)

25th Apr 16	Complaints Handling	Edinburgh
Complaints Handling
Chairman Mark Rice Equiniti Charter Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • SRCs • Complaint definitions • DP16/01 • Accredited training • Social media Click here for event summary (pdf)

11th Apr 16	Private Wealth Management	London
Private Wealth Management
Chairman Chris Taylor Director Baringa Partners Guest Contributor Ben Leighton Senior Manager Baringa Partners The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • Senior manager regime • FAMR: definition of advice • FCA business plan • DP16/1 ageing population Click here for event summary (pdf)

4th Apr 16	The Cyber Club	London
The Cyber Club
Chairman Bia Bedri Partner KPMG Guest Contributor Rashmi Knowles Chief Security Architect, EMEA RSA Security The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics PRESENTATION/DISCUSSION Cloud: good practice - a discussion led by Jano Bermudes, KPMG OTHER TOPICS • RSA Conference update • National Cyber Security Centre • User awareness: education & training • Knowledge sharing • Smishing • DLP: inbound/outbound • CBEST • Issues raised by members

21st Mar 16	Complaints Handling	London
Complaints Handling
Chairman Mark Rice Equiniti Charter The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • FOS Edinburgh meeting: feedback • PS15/19 --SRCs --complaint definitions • DP16/01 Click here for event summary (pdf)

14th Mar 16	Private Wealth Management	London
Private Wealth Management
Chairman Chris Taylor Director Baringa Partners Guest Contributor David FitzGerald Senior Manager Baringa partners The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • MiFID II • DB pension transfers • Proof of death • Conduct risk • Brexit Click here for event summary (pdf)

7th Mar 16	The Cyber Club	London
The Cyber Club
Chairman Richard Krishnan Director KPMG Guest Contributor Paul Kenealy Cyber Threat Intelligence Leader KPMG The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics PRESENTATION/DISCUSSION Cyber/Fraud Risk Management - a discussion led by Paul Kenealy, KPMG OTHER TOPICS • Cloud security • Senior manager regime • Smishing • User awareness Click here for event summary (pdf)

29th Feb 16	Complaints Handling	Edinburgh
Complaints Handling
Chairman Mark Rice Equiniti Charter Guest Contributor Caroline Mitchell Lead Ombudsman Financial Ombudsman Service Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics Looking Ahead: A Discussion with the Financial Ombudsman Service Click here for event summary (pdf)

8th Feb 16	Private Wealth Management	London
Private Wealth Management
Chairman Ben Leighton Senior Manager Baringa Partners The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • MiFID II • Market Abuse Directive • Suitability: updating KYC • Insistent clients • Restricted dealing lists Click here for event summary (pdf)

1st Feb 16	The Cyber Club	London
The Cyber Club
Chairman Richard Krishnan Director KPMG Guest Contributor Scott Bridgen Governance & Risk Lead RSA Security The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics PRESENTATION/DISCUSSION 2016 European Data Protection Regulation Impact - led by Scott Bridgen, RSA Security OTHER TOPICS • Cloud • CBEST • Data Loss Protection Click here for event summary (pdf)

25th Jan 16	Complaints Handling	London
Complaints Handling
Chairman Mark Rice Equiniti Charter The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • PS15/19 • Certified complaint training • Evidencing root cause analysis • FOS interaction Click here for event summary (pdf)

11th Jan 16	Private Wealth Management	London
Private Wealth Management
Chairman David FitzGerald Senior Manager Baringa Partners Guest Contributor Ben Leighton Senior Manager Baringa Partners The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)	Discussion Topics • MiFID II • Dealing with client portfolios/assets on death • Suitability for introduced clients • General points Click here for event summary (pdf)

23rd Nov 15	Complaints Handling	London
Complaints Handling
Chairman Mark Rice Consultant Equiniti The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Definition of materiality • Responsibility for reporting third-party complaints • Front-line complaint capture controls • Communication channels • Staff training • Compensation authority • Root cause analysis Click here for event summary (pdf)

16th Nov 15	Private Wealth Management	London
Private Wealth Management
Chairman James Nicholls Partner, Risk & Compliance Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • FAMR • Cyber threats • Complaints regulations • Due diligence Click here for event summary (pdf)

9th Nov 15	The Cyber Club	London
The Cyber Club
Chairman Bia Bedri Partner KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Governance: joining the dots • Linking fraud and cyber • Cloud risk Click here for event summary (pdf)

26th Oct 15	Complaints Handling	Edinburgh
Complaints Handling
Chairman Mark Rice Equiniti The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FOS Q&A feedback and interaction • FCA complaints policy statement • Materiality • Complaint logging • Root-cause analysis Click here for event summary (pdf)

21st Oct 15	Financial Crime	London
Financial Crime
Chairman Richard Lowe Senior Manager KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • 4th MLD • Sanctions • Screening for PEPs • Terrorist financing • Cybercrime • Property: CDD • FCA visits • Current threats • Issues raised by members

19th Oct 15	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Independent Consultant The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • Social media: internal monitoring • AML: investment account withdrawals • Corporate hospitality • General points Click here for event summary (pdf)

12th Oct 15	The Cyber Club	London
The Cyber Club
Chairman George Quigley Partner KPMG Guest Contributor Rashmi Knowles Chief Security Architect EMEA RSA Security The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Cyber security awareness • Communicating to the board • Other issues Click here for event summary (pdf)

28th Sep 15	Complaints Handling	London
Complaints Handling
Chairman Mark Rice Equiniti Guest Contributor Caroline Mitchell Lead Ombudsman Financial Ombudsman Service Adam Williams Industry Oversight Manager Financial Ombudsman Service The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics SECTION ONE: Looking Ahead: A Discussion with the Financial Ombudsman Service SECTION TWO: General Discussion: • FCA consultation • Other issues raised by members Click here for event summary (pdf)
Sponsors - Equiniti

23rd Sep 15	Financial Crime	London
Financial Crime
Chairman Ken Milliken Associate Partner, Forensic KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • DD and intermediaries • 4th Money Laundering Directive • Whistleblowing • Tax evasion • Iran sanctions Click here for event summary (pdf)

21st Sep 15	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Independent Consultant The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • Common reporting standard • Conduct risk • Offshore bond advice • Discretionary service delivery via single funds • Structured products Click here for event summary (pdf)

14th Sep 15	The Cyber Club	London
The Cyber Club
Chairman Richard Krishnan Director KPMG Guest Contributor Rashmi Knowles Chief Security Architect EMEA RSA Security The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • CBEST • Three lines of defence • Risk controls • Increases in DDOS attacks Click here for event summary (pdf)

24th Aug 15	Complaints Handling	Edinburgh
Complaints Handling
Chairman Mark Rice Equiniti The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FCA policy statement • Complaint logging • Social media • Raising professional standards • FOS interaction • Root cause analysis Click here for event summary (pdf)
Sponsors - Equiniti

16th Jul 15	Financial Crime	London
Financial Crime
Chairman Peter Kiernan Head of Regulatory & Financial Crime Legal KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • EDD: Source of wealth/funds • FCA AML review • 4th EU money laundering directive • Sanctions • FATCA • General threats Click here for event summary (pdf)

15th Jul 15	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Grexit impact • Culture: PRA & FEMR report • Vulnerable clients • DP15/5: Smarter consumer communications • MiFID II • Issues raised by members

13th Jul 15	Operational Risk	London
Operational Risk
Chairman Michael Haddon Director BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Key people risk • Grexit • Operational risk v compliance Click here for event summary (pdf)

29th Jun 15	Complaints Handling	London
Complaints Handling
Chairman Fiona De Antonis Equiniti The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FCA consultation • Complaint logging • Customer communication trends • FCA vulnerability paper • Executive-level complaints • FOS interaction Click here for event summary (pdf)
Sponsors - Equiniti

25th Jun 15	Financial Crime	London
Financial Crime
Chairman Simon Dwyer Director KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • 4th Money Laundering Directive • FATCA • EDD SOW/SOF • Sharing Fraud data • De-risking Click here for event summary (pdf)

22nd Jun 15	Private Wealth Management	London
Private Wealth Management
Chairman Mark de Ste Croix Raymond James The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • Suitability monitoring • CASS breaches • FCA interaction • Insistent clients • General points Click here for event summary (pdf)

15th Jun 15	Operational Risk	London
Operational Risk
Chairman Michael Haddon Director Risk & Advisory BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics OPERATIONAL RISK SURVEY • Responsibilities & Resourcing OTHER TOPICS • Conduct risk: broker research & soft commissions • 2nd/3rd Line relationships & audit Click here for event summary (pdf)

13th May 15	Complaints Handling	Edinburgh
Complaints Handling
Chairman Andrew Aldred Equiniti The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FCA consultation • Root-cause analysis • Productivity expectations • IDV requirements complaints Click here for event summary (pdf)
Sponsors - Equiniti

28th Apr 15	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • FCA thematic reviews • Compliance monitoring programmes • Dealing with Canadian residents Click here for event summary (pdf)

27th Apr 15	Complaints Handling	London
Complaints Handling
Chairman Simon Worboys AIG Guest Contributor Andrew Aldred Equiniti The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Consultation feedback • Preparing for changes • Regulators and root-cause analysis • Dealing with vexatious complaints • Customer data • Social media Click here for event summary (pdf)
Sponsors - Equiniti

23rd Apr 15	Compliance - Scotland	Edinburgh
Scottish Compliance Group
Chairman Peter Downie McInroy & Wood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FG15/1 guidance on retail investment advice • FG15/4 guidance on social media & communications • New pensions regime • Common reporting standards & KYC • Senior manager regime • FCA interaction • PRIPs • MiFID II • Issues raised by members

22nd Apr 15	Financial Crime	London
Financial Crime
Chairman Meena Marway Rothschild The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • On-boarding: FCA expectations for KYC • KYC kit for clients • Cybercrime: staff responsibilities • Financial crime: company culture • Current threats & vulnerabilities Click here for event summary (pdf)

21st Apr 15	Operational Risk	London
Operational Risk
Chairman Viv Pyne Senior Manager Risk & Advisory Services BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Framework: oversight of third parties • Right-sizing risk teams • Fraud and cybercrime risk Click here for event summary (pdf)

20th Apr 15	The Cyber Club	London
The Cyber Club
Chairman Paul Taylor Partner KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Cyber defence exercises • CBEST • Cross-sector threat responses • Working with SMEs Click here for event summary (pdf)

23rd Mar 15	Complaints Handling	Edinburgh
Complaints Handling
Chairman Andrew Aldred Equiniti The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FCA consultation • FOS interaction • Social media communications • Root-cause analysis Click here for event summary (pdf)
Sponsors - Equiniti

18th Mar 15	Financial Crime	London
Financial Crime
Chairman Neal Dawson UK Head of AML & Sanctions KPMG Guest Contributor Alan Paterson Managing Director Plenitude The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Preparing for reviews • Developing and using fraud scenarios • Sectoral sanctions • Managed services: crime risk • Cybercrime • Current threats Click here for event summary (pdf)

16th Mar 15	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MiFID II • Single-asset portfolios • Pension transfers • General topics Click here for event summary (pdf)

11th Mar 15	Operational Risk	London
Operational Risk
Chairman Viv Pyne Senior Manager, Risk & Advisory BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Conduct risk • Scenarios • Risk appetite statements • Linking OR across an enterprise • KRAs: OR reporting of different levels • Op risk awareness, training and communications • Issues raised by members

9th Mar 15	The Cyber Club	London
The Cyber Club
Chairman Stephen Bonner Partner KPMG Guest Contributor Rashmi Knowles Chief Security Architect RSA Security The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Risk appetite for cyber • CBEST • Practical consumption of intelligence • Customer interaction • Penetration testing Click here for event summary (pdf)

23rd Feb 15	Complaints Handling	London
Complaints Handling
Chairman Andrew Aldred Equiniti The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FCA thematic review & consultation • Root-cause analysis Click here for event summary (pdf)
Sponsors - Equiniti

18th Feb 15	Financial Crime	London
Financial Crime
Chairman Neal Dawson UK Head of AML & Sanctions KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Financial crime risk assessments -- AML, ABC, Fraud, Sanctions • 4th ML directive • FATCA reporting • AML/KYC reliance on regulated counterparties • FCA AML Reviews • Cultural differences: head office vs. branches • Managed services/outsourcing: crime risk • Cybercrime • Issues raised by members

16th Feb 15	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • SIPP providers: due diligence • Pension changes: DB transfers • Investment advice perimeter • Single-asset portfolios • MiFID II Click here for event summary (pdf)

9th Feb 15	The Cyber Club	London
The Cyber Club
Chairman Stephen Bonner Partner KPMG Guest Contributor Rashmi Knowles Chief Security Architect RSA Security The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • 2015: anticipated threats • 2015: regulatory landscape • Third-party risk • Threat assessments Click here for event summary (pdf)

5th Feb 15	Compliance - Scotland	Edinburgh
Scottish Compliance Group
Chairman Lindsay Ballantyne Executive Advisor KPMG The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • PRIIPs • MiFID II • CASS review • Monitoring for best outcomes • Senior manager regime • Other issues Click here for event summary (pdf)

26th Jan 15	Complaints Handling	Edinburgh
Complaints Handling
Chairman Andrew Aldred Equiniti The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FCA thematic review and CP14/30 • RCA best practice • FOS interaction Click here for event summary (pdf)
Sponsors - Equiniti

21st Jan 15	Financial Crime	London
Financial Crime
Chairman Rob Cutler Director KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • PEP rating methodologies • Regulator relations Click here for event summary (pdf)

13th Jan 15	Operational Risk	London
Operational Risk
Chairman Alex Ellerton Director BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • ICAAP modelling tools • Awareness, training and competence • Outsourced services • Other issues Click here for event summary (pdf)

17th Nov 14	Complaints Handling	London
Complaints Handling
Chairman Brian O'Kelly Consultant Aptean The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FCA thematic review • Quality assurance • Dealing with the FOS • Trouble & upset awards Click here for event summary (pdf)
Sponsors - Aptean

13th Nov 14	Social Media Group	London
Social Media
Chairman Bridget Greenwood Head of UK Operations Financial Social Media City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FCA social media paper • IMA response • Social media programs and activities • Issues raised by members

12th Nov 14	Financial Crime	London
Financial Crime
Chairman Rob Cutler Director, AML Services KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • 4th Money Laundering Directive • Russian sanctions • PEPS: identity sources Click here for event summary (pdf)

10th Nov 14	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • 4th Money Laundering Directive • Data Protection Directive II • MiFID II • ELTIFs • Conduct risk • CoCos consultation • Other issues Click here for event summary (pdf)

5th Nov 14	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • External audit of frameworks • BoE payments system shutdown • Outsourcing/third party risks • Business process mapping • Managing regulatory relationships Click here for event summary (pdf)

3rd Nov 14	The Cyber Club	London
The Cyber Club
Chairman Stephen Bonner Partner KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Cyber security: changing perceptions • Psyche of attackers • CBEST • Cyber insurance • 2014: lessons learned • 2015: looking ahead Click here for event summary (pdf)

28th Oct 14	Compliance - Scotland	Edinburgh
Compliance
Chairman Jamie Thomas Royal London The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • MiFID II • CASS review • UCITS V • Senior manager regime • FATCA Click here for event summary (pdf)

27th Oct 14	Complaints Handling	Edinburgh
Complaints Handling
Chairman Bruce Webster Consultant Aptean The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FCA thematic review • Root cause analysis • Compensation • FCA complaints data • CMCs • FOS interaction • EU complaints • Social media Click here for event summary (pdf)
Sponsors - Aptean

15th Oct 14	Financial Crime	London
Financial Crime
Chairman Louise Thompson Director, Risk Consulting KPMG Guest Contributor Leeanne Grassnick Senior Manager KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FATCA • ABC: third-party due diligence • Russian sanctions • NEDs as PEPs • AML: documentation standards • General activities Click here for event summary (pdf)

13th Oct 14	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FCA themes • Discretionary business in other jurisdictions • Suitability • MiFID II – charge illustrations • New senior managers regime Click here for event summary (pdf)

8th Oct 14	Operational Risk	London
Operational Risk
Chairman Viv Pyne Senior Manager, Risk & Advisory BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Regulatory risk • Changes to risk frameworks • Crime/ABC/AML: OR responsibilities • Risk appetite • Geopolitical risk Click here for event summary (pdf)

6th Oct 14	The Cyber Club	London
The Cyber Club
Chairman Stephen Bonner Partner KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics FIRST SESSION Case Study: "Social Engineering" - a discussion led by Barclays Plc SECOND SESSION CBEST - a discussion led by the Bank of England

15th Sep 14	Complaints Handling	London
Complaints Handling
Chairman David Ward Product Manager Aptean The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FOS interaction • Third-party referrals • Overseeing complaints handling abroad • FCA thematic review • General points Click here for event summary (pdf)
Sponsors - Aptean

10th Sep 14	Financial Crime	London
Financial Crime
Chairman Simon Mansell Director KPMG Guest Contributor Olivia Allison Head of Russia/CIS Desk KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Russian/Ukrainian sanctions • Screening tools • Transaction monitoring • Segregation of duties • Cyber security Click here for event summary (pdf)

8th Sep 14	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Client categorisation • Suitability • Inducements • Geopolitical impact • Social media • Senior manager regime • FCA activity • MiFID II Click here for event summary (pdf)

3rd Sep 14	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Interacting with three lines of defence • Model/spreadsheet risk • Geopolitical risk • Cyber risk Click here for event summary (pdf)

1st Sep 14	The Cyber Club	London
The Cyber Club
Chairman Richard Krishnan Director KPMG Guest Contributor Rashmi Knowles Chief Security Architect RSA Security The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • CBEST/Intelligence-led penetration testing • The human firewall • Benchmarking • Other issues Click here for event summary (pdf)

19th Aug 14	Compliance - Scotland	Edinburgh
Compliance
Chairman Leon Harrower Aberdeen AM The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • Immigration Act • Loan-to income ratios • FCA/PRA consultation: senior manager regime • FCA social media paper • MiFID II: post CP/DP analysis • AIFMD • FCA paper: dealing commission • General issues Click here for event summary (pdf)

18th Aug 14	Complaints Handling	Edinburgh
Complaints Handling
Chairman Eric Brown Consultant Aptean The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • FOS issues • Compensation levels • Root cause analysis • Use of tablets Click here for event summary (pdf)
Sponsors - Aptean

15th Jul 14	Financial Crime	London
Financial Crime
Chairman Rob Gordon Director Grant Thornton The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Simplified due diligence • Periodic reviews • Electronic checks • Electronic vs hardcopy records • Verifying source of wealth Click here for event summary (pdf)

14th Jul 14	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Cyber risks survey • Outsourcing due diligence • Measuring change risk • Conduct risk: operational risk impact Click here for event summary (pdf)

8th Jul 14	Private Wealth Management	London
Private Wealth Management
Chairman Claire Paisley Partner Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • RDR review: specific disclosures • FCA interaction • Source of wealth/due diligence • Suitability • Inducements • MiFID II • General points Click here for event summary (pdf)

24th Jun 14	Compliance - Scotland	Edinburgh
Compliance
Chairman Genevieve Humphreys Senior Manager PwC The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • TR14/7 Clarity of fund charges • PRIIPs • Immigration Act • Payments Council transfer to FCA • PS14/7 dealing commission changes • Pensions reform • CASS Click here for event summary (pdf)

23rd Jun 14	Complaints Handling	London
Complaints Handling
Chairman David Ward Product Manager Aptean The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Quality checking • FOS issues • PPI • Resolving complaints at first point of contact • Changes to advisor reporting • Executive complaints & social media Click here for event summary (pdf)

17th Jun 14	Financial Crime	London
Financial Crime
Chairman Rob Gordon Director Grant Thornton The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Whistleblowing • Internal employee fraud • Scams/cloned websites/cyber • ID verification checks • Signatories • Due diligence Click here for event summary (pdf)

16th Jun 14	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • RCSA • Cyber risk and data protection Click here for event summary (pdf)

12th Jun 14	Asset Management	London
Asset Management
Chairman Anne Stopford Director Grant Thornton Offices of Aberdeen AM, Bow Bells House, 1 Bread Street, London EC4M 9HH (map)	Discussion Topics • FCA thematic reviews • EMIR • Inducements • AIFMD • Monitoring voice mail Click here for event summary (pdf)

9th Jun 14	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager Baringa The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • CRD IV • RDR • RDR charges assessment forms • FATCA • WMA update -- MiFID -- PRIIPS • Complaints • Suitability Click here for event summary (pdf)

2nd Jun 14	The Cyber Club	London
The Cyber Club
Chairman Bia Bedri Director KPMG Guest Contributor Rashmi Knowles Chief Security Architect RSA Security The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Threat intelligence • Taxonomy • Benchmarking Click here for event summary (pdf)

28th May 14	Complaints Handling	Edinburgh
Complaints Handling
Chairman Eric Brown Consultant Aptean The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • Letter writing • FOS issues • Quality checking Click here for event summary (pdf)
Sponsors - Aptean

20th May 14	Financial Crime	London
Financial Crime
Chairman Charlie Patrick Director KPMG Guest Contributor Alun Milford General Counsel Serious Fraud Office The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Serious Fraud Office -- Bribery Act -- Deferred prosecution agreements • Third-Party introducers • Cybercrime • Recent frauds & trends • AML Click here for event summary (pdf)

19th May 14	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Ethics (survey results discussion) • Loss/gain reporting • Culture & HR management • FCA interaction Click here for event summary (pdf)

14th May 14	The Cyber Club	London
The Cyber Club
Chairman Bia Bedri Director KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Cyber threats: dealing with the board • Intelligence-driven security Click here for event summary (pdf)

12th May 14	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • EMIR • Specialist fund market • FCA feedback/interaction • Suitability • House views: formal processes Click here for event summary (pdf)

8th May 14	Asset Management	London
Asset Management
Chairman Jan Parker Director, Financial Services Advisory Grant Thornton The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Compliance testing programmes • FCA Business Plan and Risk Outlook • Fees & charges for asset managers • ICAAP • Distributor relationships • Best execution and transition management Click here for event summary (pdf)

29th Apr 14	Compliance - Scotland	Edinburgh
Compliance
Chairman Genevieve Humphreys Senior Manager PwC The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • Cyber risk • Behavioural economics • Pensions reform Click here for event summary (pdf)

28th Apr 14	Complaints Handling	London
Complaints Handling
Chairman John Howard Independent Consultant The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FCA thematic review • Consistency in compensation payments – D&I • Dealing with the FOS • Letter writing • Executive-level complaints Click here for event summary (pdf)
Sponsors - Aptean

23rd Apr 14	Financial Crime	London
Financial Crime
Chairman Mark Stollery Partner PA Consulting The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • PEPs • FATCA • Financial crime risk assessments • Current / emerging frauds & trends Click here for event summary (pdf)

22nd Apr 14	Operational Risk	London
Operational Risk
Chairman Alex Ellerton Director BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics Horizon Risks Survey • Horizon risks – IT risk • Horizon risks – regulatory change Other Topics • Enforced leave • Risk resourcing • Risk culture Click here for event summary (pdf)

14th Apr 14	Private Wealth Management	London
Private Wealth Management
Chairman Claire Paisley Partner Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • RDR thematic review feedback • Conduct risk • Culture • Waiver for KID - transparency to clients • Vulnerable client matrix • Re-assessing suitability • AML due diligence Click here for event summary (pdf)

7th Apr 14	The Cyber Club	London
The Cyber Club
Chairman Stephen Bonner Partner KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Third-party due diligence • Cloud • Mobiles/mobility issues • EU data protection regulations • Cyber threats: board support Click here for event summary (pdf)

3rd Apr 14	General Interest	London
FSDC Forum: CRD IV Reporting
Chairman Jason McCreight Director Deloitte London Capital Club, 15 Abchurch Lane, London EC4N 7BW (map)	Discussion Topics • General progress and issues • XBRL delivery • Regulator engagement • Test-bed activity

27th Mar 14	Social Media Group	London
Social Media
Chairman Lance Concannon Head of Digital Hudson Sandler The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Social media: legal & regulatory risk • Why consumers follow brands • Social media engagement campaigns -- case studies -- integrating social platforms • Events -- promotion on social -- social during an event -- customer engagement • Issues raised by members

25th Mar 14	Compliance - Scotland	Edinburgh
Compliance
Chairman Caroline Macefield Senior Manager PwC The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • 2014 Budget impact: pensions reform • Upcoming platforms rules • European regulations: overview • Gifts & entertainment: FCA guidance • Conduct risk Click here for event summary (pdf)

24th Mar 14	Complaints Handling	Edinburgh
Complaints Handling
Chairman Caroline Macefield Senior Manager PwC The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • Voice of the customer • Customer surveys • FOS issues • Compensation payments / interest rates • Monitoring complaint volumes • MI • RCA Click here for event summary (pdf)

18th Mar 14	Financial Crime	London
Financial Crime
Chairman Asesh Sarkar Managing Consultant PA Consulting The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Is SDD dead? • Managing KYC check • Electronic verification • PEPs / Sanctions tools • Fraud monitoring service • Cybercrime: current threats • Current fraud and trends Click here for event summary (pdf)

17th Mar 14	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Oversight of third parties • Regulatory outlook • Risk appetite Click here for event summary (pdf)

13th Mar 14	Asset Management	London
Asset Management
Chairman Julian Bartlett Partner Grant Thornton The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • MNPI: controlling flow • Surveillance • Conduct risk • Best execution • Outsource provider oversight Click here for event summary (pdf)

10th Mar 14	Private Wealth Management	London
Private Wealth Management
Chairman Mark de Ste Croix Head of Compliance & Legal Raymond James The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Training & competency • SPS issues • NMPIs • Suitability / FOS interaction • ACDs • FCA review: sales incentives • Conduct risk Click here for event summary (pdf)

3rd Mar 14	The Cyber Club	London
The Cyber Club
Chairman Stephen Bonner Partner KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Monitoring & logging • Coordinating & communicating during an incident • Educating customers Click here for event summary (pdf)

25th Feb 14	Compliance - Scotland	Edinburgh
Compliance
Chairman Caroline Macefield Senior Manager PwC The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • Product governance • Corporate access • Inducements • Annuities • CASS Click here for event summary (pdf)

24th Feb 14	Complaints Handling	London
Complaints Handling
Chairman Geoff Rae Senior Consultant Huntswood The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Root cause analysis • FOS Issues • FCA thematic review • DISP rules • Complaint volumes • IFA redress Click here for event summary (pdf)

18th Feb 14	Financial Crime	London
Financial Crime
Chairman Mark Stollery Principal Consultant PA Consulating The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Verification of source of wealth • ABC • Reliance letters • Third-party due diligence • Current fraud and trends Click here for event summary (pdf)

17th Feb 14	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Culture • Regulatory outlook - interaction with supervisors - deep dives • Staffing and resources • Operational risk: remit & accountability Click here for event summary (pdf)

13th Feb 14	Asset Management	London
Asset Management
Chairman Julian Bartlett Partner Grant Thornton The Offices of Falcon MM, 60 Great Tower Street, London EC3R 5AD (map)	Discussion Topics • EMIR • AIFMD • FATCA • Control reporting • Warehousing • Email surveillance Click here for event summary (pdf)

12th Feb 14	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • RDR • FCA activity • Market abuse • PEP registers • EU regulatory outlook: -- PRIIPS -- CRD IV reporting -- EMIR • Suitability Click here for event summary (pdf)

3rd Feb 14	The Cyber Club	London
The Cyber Club
Chairman Stephen Bonner Partner KPMG Guest Contributor Rashmi Knowles Chief Security Architect, EMEA RSA Security The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Data classification • Cyber kill chain methodology • Budgets/resources Click here for event summary (pdf)

30th Jan 14	Social Media Group	London
Social Media
Chairman Bridget Greenwood Head of UK Operations Financial Social Media Guest Contributor Simon Ryan Consultant Social Advisors The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics Social Media & Financial Advisors -a discussion with Simon Ryan, Social Advisors Other Topics • B2B issues • Dealing with regulators • Dealing with complaints • Training & education • New ideas & content • Issues raised by members

28th Jan 14	Compliance - Scotland	Edinburgh
Compliance
Chairman Genevieve Humphreys Senior Manager PricewaterhouseCoopers The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Inducements • Product governance • The compliance function -- resourcing -- systems & tools • Scottish independence Click here for event summary (pdf)

27th Jan 14	Complaints Handling	Edinburgh
Complaints Handling
Chairman Caroline Macefield Senior Manager PricewaterhouseCoopers The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • Complaints handling thematic review • FOS issues • Publication of complaints MI: contextualisation • Root cause analysis • Issues raised by members

23rd Jan 14	General Interest	London
FSDC Forum: CRD IV Reporting
Chairman Christian Hagman Partner Deloitte LLP London Capital Club, 15 Abchurch Lane, London EC4N 7BW (map)	Discussion Topics • Dealing with the regulator • Data attestation • Reporting mechanisms • Asset encumbrance • Parallel liquidity reporting • Development of internal platforms Click here for event summary (pdf)

21st Jan 14	Financial Crime	London
Financial Crime
Chairman Mark Stollery Principal Consultant PA Consulting The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FATCA • Transaction monitoring • Current frauds and trends Click here for event summary (pdf)

20th Jan 14	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Risk committee reports • Cybercrime • Interplay between risk & compliance • 2014 regulatory outlook Click here for event summary (pdf)

13th Jan 14	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • AML • FCA activity • Performance fees • FATCA • Surveys • Elective professional clients Click here for event summary (pdf)

6th Jan 14	The Cyber Club	London
The Cyber Club Launch Meeting
Chairman Stephen Bonner Partner KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Configuring the human firewall • Cyber breach stress testing • Privacy • Security consequences of change Click here for event summary (pdf)
Sponsors - KPMG & RSA

10th Dec 13	General Interest	London
Conduct Risk Workshop
Chairman David Vallery Director KPMG Andaz Hotel, 40 Liverpool St, London, EC2M 7QN (map)	Discussion Topics Conduct Risk: Developing Action Plans for Better Customer Outcomes -- a workshop for risk, compliance and business functions: Topic Areas: • Governance • Culture • MI • Risk appetite / tolerance: impact on outcomes • Risk identification • Remuneration • Building frameworks
Sponsors - EMC & KPMG

5th Dec 13	General Interest	London
FSDC Forum: CRD IV Reporting
Chairman Ian Harrison Partner Deloitte LLP London Capital Club, 15 Abchurch Lane, London EC4N 7BW (map)	Discussion Topics • Dealing with the regulator -- clarity of requirements -- responding to challenges • Data attestation -- processes & controls -- managing data -- roles & responsibilities • Reporting mechanisms -- XBRL challenges -- internal processes -- ensuring compliance

25th Nov 13	Complaints Handling	London
Complaints Handling
Chairman Stephen Atkins Senior Associate RFS Group The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Complaints handling automation: pros and cons • FCA thematic review • FOS decisions • Retention periods v FOS expectations • Conduct risk: complaints handling • Segregation of complaints • Publication of adjudications (FOS decisions) • Pensions liberation: suspicious transfers Click here for event summary (pdf)

20th Nov 13	Asset Management	London
Asset Management
Chairman Julian Bartlett Partner Grant Thornton The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Conflicts of interest (FCA conference) • Culture • Conduct risk • Incident/error/breach reporting • EMIR Click here for event summary (pdf)

19th Nov 13	Financial Crime	London
Financial Crime
Chairman David Coolegem Senior Consultant PA Consulting The City of London, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • ABC due diligence: FCA paper • High-risk jurisdictions/entities • Client signatories: AML/KYC policies • Luxembourg AML regulation • Current frauds and trends Click here for event summary (pdf)

18th Nov 13	Operational Risk	London
Operational Risk
Chairman Alex Ellerton Director BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics FSDC SURVEY • Incident reporting OTHER TOPICS • Risk scenarios • Risk of dual regulation Click here for event summary (pdf)

11th Nov 13	Private Wealth Management	London
Private Wealth Management
Chairman Claire Paisley Partner Baringa Partners The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • RDR • FCA engagement • AIFMD • FATCA • FCA: thematic reviews & surveys • Suitability Click here for event summary (pdf)

7th Nov 13	Compliance - Scotland	Edinburgh
Compliance
Chairman Genevieve Humphreys Senior Manager PricewaterhouseCoopers The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FCA AM Focus • AIFMD • FATCA • Conduct risk • Fact sheets • FCA focus: behavioural economics • Product governance and FCA expectations • Issues raised by members

28th Oct 13	Complaints Handling	Edinburgh
Complaints Handling
Chairman Leigh Milligan Royal Bank of Scotland The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Capturing expressions of dissatisfaction • FOS decisions -- fraudulent transactions -- general points • Social media tracking • FCA thematic review: complaints procedures • Oversight of third parties • Conduct risk: complaints handling • Complaint handling SLAs • Complaint letter templates • General points Click here for event summary (pdf)
Sponsors - Aptean

24th Oct 13	Social Media Group	London
Social Media
Chairman Bridget Greenwood Head of UK Operations Financial Social Media The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics Social Media and Culture • Training • Responsibilities • Communication • Dealing with partners/third parties • Hiring policies • B2B - professional relationships on LinkedIn • Issues raised by members

15th Oct 13	Financial Crime	London
Financial Crime
Chairman David Coolegem Senior Consultant PA Consulting The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • ABC due diligence: M&A • Sanctions screening • FATF guidance: PEP monitoring • Financial crime risk assessment frameworks • Luxembourg AML requirements • Future threats Click here for event summary (pdf)

14th Oct 13	Operational Risk	London
Operational Risk
Chairman Alex Ellerton Director BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Identifying emerging risks • Operational risk systems • Product approval process • Conduct risk • Embedding risk culture • Consistent risk assurance mapping • Embedding risk culture Click here for event summary (pdf)

10th Oct 13	General Interest	London
FSDC PANEL: MANAGING CONDUCT RISK
Chairman David Vallery Director KPMG Guest Contributor Alison Verlander Head of Policy & Standards RBS Tay Incekara Head of Compliance Artisan Partners Andaz Hotel (1901 entrance), 40 Liverpool St, London, EC2M 7QN (map)	Discussion Topics • Running conduct risk programmes -- scope; ownership; administration • Building conduct risk frameworks ­-- governance; risk appetite; risk policies ­-- business processes; procedures ­-- conduct risk profiles ­-- control testing and assurance ­-- management information and reporting ­-- culture; staff behaviour; rewards • Working with third-party suppliers and distributors ­-- reliance; monitoring; integrated reviews; information flow • International aspects ­-- overseas parents; UK conduct agenda / frameworks in overseas jurisdictions • FCA interest & engagement ­-- product pricing; justifying pricing ­-- business models; strategy analysis ­-- current thematic areas • Assurance processes: outcome testing Click here for event summary (pdf)
Sponsors - KPMG & RSA

7th Oct 13	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Independent Consultant The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • RDR • Suitability: annual reviews • Conduct risk frameworks • TCF: MI flows • Investment research • AIFMD Click here for event summary (pdf)

26th Sep 13	Social Media Group	London
Social Media
Chairman Bridget Greenwood Head of UK Operations Financial Social Media Guest Contributor Steven Miyao CEO Kasina The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics ‘Building a Competitive Social Media Competency – Examples from the US’ - a discussion with Steve Miyao, CEO, Kasina Click here for event summary (pdf)

24th Sep 13	Compliance - Scotland	Edinburgh
Compliance
Chairman Peter Downie Compliance Officer McInroy & Wood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Conduct risk • FCA/PRA update • AIFMD • FATCA • General topics Click here for event summary (pdf)

23rd Sep 13	Complaints Handling	London
Complaints Handling
Chairman Stephen Atkins Senior Associate RFS Group City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Achieving consistency • FCA thematic review: complaints procedures • Capturing expressions of dissatisfaction • Oversight of third parties • PPI complaints • Vexatious complainants • Social media tracking Click here for event summary (pdf)
Sponsors - Aptean

16th Sep 13	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Incident reporting • Risk culture • Conduct risk Click here for event summary (pdf)

12th Sep 13	Asset Management	London
Asset Management
Chairman Scott Soper Independent Consultant City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • AIFMD • Conduct Risk • Client Money • Remuneration • RDR Click here for event summary (pdf)

9th Sep 13	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Independent Consultant The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Cass review • RDR thematic review • Suitability • CIPs • Sub-scale funds • Inducements • Timely execution & deal aggregation Click here for event summary (pdf)

20th Aug 13	Compliance - Scotland	Edinburgh
Compliance
Chairman Genevieve Humphreys Senior Manager PricewaterhouseCoopers Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • AIFMD • CASS review • RDR thematic review • Product suitability & governance • FCA cultural outlook Click here for event summary (pdf)

19th Aug 13	Complaints Handling	Edinburgh
Complaints Handling
Chairman Mark Chambers Head of Product Consulting Aptean Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Root-cause reporting • Close-of-business complaints: • FCA interest rates / Section 75 complaints • Social media: FCA expectations • FOS publication • Complaints targets Click here for event summary (pdf)
Sponsors - Aptean

16th Jul 13	Financial Crime	London
Financial Crime
Chairman Nic Carrington Partner Deloitte Guest Contributor Jelle Niemantsverdriet Assistant Director Cyber Incident Response Team Deloitte Deloitte's Offices, Hill House, 1 Little New Street, London EC4A 3TR (map)	Discussion Topics SPECIAL FOCUS - CYBERCRIME -- a discussion led by Jelle Niemantsverdriet, Deloitte OTHER TOPICS • EFG fine • Frauds & trends Click here for event summary (pdf)

15th Jul 13	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Guest Contributor Edward Sankey Institute of Operational Risk City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • KRI survey • KRI alert levels • FCA engagement • Impact of budget reductions Click here for event summary (pdf)

11th Jul 13	Compliance - Scotland	Edinburgh
Compliance
Chairman Sharon Shaw Director, Risk Assurance PricewaterhouseCoopers The Balmoral Hotel, Princes Street, Edinburgh Eh2 2EQ (map)	Discussion Topics • Transition to the FCA/PRA • Due diligence: third-party brokers • Training & competency • General points Click here for event summary (pdf)

8th Jul 13	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Suitability • CIPs • FCA update • UCIS • Training & competency • Approved persons • Transaction reporting Click here for event summary (pdf)

27th Jun 13	Social Media Group	London
Social Media Group
Chairman Bridget Greenwood Head of UK Operations Financial Social Media Guest Contributor Jelle Niemantsverdriet Assistant Director Cyber Incident Response Team Deloitte City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics DISCUSSION Cybercrime - led by Jelle Niemantsverdriet, Cyber Incident Response Team, Deloitte OTHER TOPICS • Global strategies for social media • Complaints handling via social media • Misuse of personal accounts • Brand guidance - social media links on marketing materials • Issues raised by members

24th Jun 13	Complaints Handling	London
Complaints Handling
Chairman John Howard Independent Consultant City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Transition to the FCA • FOS issues • Consumer Insurance (Disclosure & Representations) Act 2012 • Social media • PPI-style complaints • Website accessibility Click here for event summary (pdf)
Sponsors - Aptean

20th Jun 13	General Interest	London
Insurance Workshop 2013
Andaz Hotel, 40 Liverpool Street, London EC2M 7QN (map)	Discussion Topics “Risk & Regulatory Compliance: More Effective Governance” -- developing new approaches to working in a complex regulatory environment A workshop for risk, compliance and audit professionals: • Compliance assurance and tracking (including Solvency II) • Monitoring the business impact of regulatory change • Compliance: using a risk-based approach • Using risk management to predict the impact of regulatory change • Running risk & compliance programs across the enterprise • Changing data into information for decision-making
Sponsors - RSA & Deloitte

18th Jun 13	Financial Crime	London
Financial Crime
Chairman Nic Carrington Partner Deloitte Guest Contributor Julian Colborne-Baber Partner Deloitte Deloitte's Offices, 10th Floor, 2 New Street Square, London EC4A 3BZ (map)	Discussion Topics • Risk assessments • Account fraud • Electronic verification • Sanctions Click here for event summary (pdf)

17th Jun 13	Operational Risk	London
Operational Risk
Chairman David Morrey Partner BDO LLP Guest Contributor Edward Sankey Independent Consultant City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics OPERATIONAL RISK SCENARIO New Product Approval Process OTHER TOPICS • Embedding risk into a firm's culture • FCA visits Click here for event summary (pdf)

10th Jun 13	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)	Discussion Topics • Suitability • Risk profiling • UCIS • FCA update • Unbreakable deposits • Introducer fees • Presentation of past performance figures Click here for event summary (pdf)

4th Jun 13	Complaints Handling	Edinburgh
Complaints Handling
Chairman Will Furnaux Management Consultant PA Consulting The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Publication of FOS data • FOS issues • Benchmarking surveys • Complainant feedback • IFA compensation rates • Complaints volumes Click here for event summary (pdf)
Sponsors - Aptean

3rd Jun 13	Compliance - Scotland	Edinburgh
Compliance
Chairman Sharon Shaw Director, Risk Assurance PricewaterhouseCoopers The Balmoral Hotel, Princes Street Edinburgh EH2 2EQ (map)	Discussion Topics • Financial promotions -- ICOB changes for packaged bank accounts -- social media compliance • Transition to FCA/PRA • Suitability • RDR • FATCA • Consultancy charging ban • Practical applications of FCA's behavioural economics material • Training & competency policies • Mobile banking apps • Issues raised by members

15th May 13	Operational Risk	London
Operational Risk
Chairman Edward Sankey The Institute of Operational Risk City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics OPERATIONAL RISK SCENARIO “Dealing with an Internal Whistle-Blower Report of a Suspected Staff Fraud OTHER TOPICS: • Recording /Reporting Risk Events with Unclear Financial Losses • Risk Appetite Click here for event summary (pdf)

13th May 13	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)	Discussion Topics • UCIS • Suitability • Transition to the FCA • RDR Click here for event summary (pdf)

25th Apr 13	Social Media Group	London
Social Media Group
Chairman Bridget Greenwood Head of UK Operations Financial Social Media Guest Contributor Lee Bolger Enterprise Social Marketing Executive Google Google's Offices, Belgrave House, 76 Buckingham Palace Road, London SW1W 9TQ (map)	Discussion Topics PART ONE: PRESENTATION "Social Strategy - Best Practice for Financial Services" - a presentation from Google UK - Lee Bolger PART TWO: DISCUSSION TOPICS • New SEC guidance • General issues Click here for event summary (pdf)

23rd Apr 13	Compliance - Scotland	Edinburgh
Compliance
Chairman Sean Harkin Senior Manager PricewaterhouseCoopers The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Transition to FCA/PRA • Product development • Conduct risk strategies • Mystery shopping • Outsourcing • Conflicts of interest • RDR Click here for event summary (pdf)

22nd Apr 13	Complaints Handling	London
Complaints Handling
Chairman John Howard Independent Consultant City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Publication of FOS data • Transition to the FCA • Social media • Late payment interest • Complaints dealt with by intermediaries Click here for event summary (pdf)
Sponsors - Aptean

18th Apr 13	General Interest	London
Insurance Panel 2013
Chairman Stephen Lucas Partner - Risk and Regulation Deloitte Grange Hotel St. Pauls, 10 Godliman Street, London, EC4V 5AJ (map)	Discussion Topics Solvency II & Twin Peaks Regulation • Information integrity • Managing changing risk profiles • Third party risk • Business resilience risk • Moving from ICA to ICA to Solvency II modelling • PRA expectations: ICAS • EIOPA expectations: -- bringing forward Solvency II risk management, governance and reporting • Effective governance • Model governance • Distribution of roles across functions
Sponsors - RSA & Deloitte

15th Apr 13	Operational Risk	London
Operational Risk
Chairman Stephen Gould Senior Manager, Risk & Regulation Deloitte City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Product risk • Strategic risk • Conduct risk Click here for event summary (pdf)

8th Apr 13	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)	Discussion Topics • Suitability • FOS -- decisions -- publication • FCA new regime • RDR • TCF Click here for event summary (pdf)

25th Mar 13	Complaints Handling	Edinburgh
Complaints Handling
Chairman Will Furnaux Management Consultant PA Consulting The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Turn-around times • FOS --case fees --published decisions • Road to the FCA • Finacial advisers: multiple complaints • Issues raised by members
Sponsors - Aptean

19th Mar 13	Financial Crime	London
Financial Crime
Chairman Nic Carrington Partner - Head of Investigations Deloitte Guest Contributor Julian Colborne-Baber Partner Deloitte Deloitte's Offices, 1st Floor, 2 New Street Square, London EC4A 3BZ (map)	Discussion Topics PRESENTATION 'Lessons learnt from recent US enforcement actions on sanctions and AML' - a presentation by Deloitte OTHER TOPICS • Sanctions • Customer records from a business acquisition • Action Fraud: reporting Click here for event summary (pdf)
Sponsors - Deloitte

18th Mar 13	Operational Risk	London
Operational Risk
Chairman Stephen Lucas Partner, Risk & Regulation Deloitte City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Using external loss data • RCSA: best practice • KRIs: linking to risk appetite • Training operational risk staff Click here for event summary (pdf)

11th Mar 13	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)	Discussion Topics • Change of control issues • FSA RDR review • Suitability • Transition to the FCA Click here for event summary (pdf)

28th Feb 13	Social Media Group	London
Social Media Group
Chairman Lance Concannon Head of Digital Harvard Public Relations City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Social media policies • Hacking • Customer services • Intellectual property • Leakages • General points Click here for event summary (pdf)

26th Feb 13	Compliance - Scotland	Edinburgh
Compliance
Chairman Will Furneaux Consultant PA Consulting The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Outsourcing • Conflicts of interest • RDR • Advice: FSA mystery shopping review • CP13/6: change in FSA approach • Product intervention: FCA approach Click here for event summary (pdf)

25th Feb 13	Complaints Handling	London
Complaints Handling
Chairman John Howard Independent Consultant Guest Contributor David Ward Aptean City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FOS issues ­-- inconsistencies ­-- overturn rates • Complaints via social media • Letter writing • RDR Click here for event summary (pdf)
Sponsors - Aptean

19th Feb 13	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Paul Mewett Head of Internet Intelligence Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Anti-bribery & corruption • Social media monitoring • Email Hacking • AML • VIP programmes • Current frauds & trends Click here for event summary (pdf)
Sponsors - Grant Thornton

18th Feb 13	Operational Risk	London
Operational Risk
Chairman Stephen Lucas Partner, Risk and Regulation Deloitte Guest Contributor Edward Sankey Institute of Operational Risk City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Embedding risk culture • Governance risk • Compliance risk: impact of remote locations • Arrow feedback Click here for event summary (pdf)

11th Feb 13	Private Wealth Management	London
Private Wealth Management
Chairman Marcus Swales Partner Grant Thornton City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Outsourcing • Suitability • RDR • UCIS • KIDs • AIFMD • Compliance monitoring programmes Click here for event summary (pdf)

31st Jan 13	Social Media Group	London
Social Media - Communications & Compliance
Chairman Bridget Greenwood Head of UK Operations Financial Social Media Guest Contributor Daniel Jason Head of Social Media Peregrine Communications City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics PRESENTATION "Social Media: Business to Business" - Daniel Jason, Peregrine Communications MAIN MEETING • Monitoring • YouTube • Complaints • Disclaimers on Twitter • General points Click here for event summary (pdf)

28th Jan 13	Complaints Handling	Edinburgh
Complaints Handling
Chairman Leigh Milligan Royal Bank of Scotland The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FOS issues • Quality assurance • Root cause analysis • Letter-writing • Email correspondence • General issues Click here for event summary (pdf)
Sponsors - Aptean

22nd Jan 13	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics PRESENTATION "2012/2013 Update" - a presentation and discussion with Andy Fyfe, City of London Police GENERAL DISCUSSION • social media monitoring • Issues raised by members
Sponsors - Grant Thornton

14th Jan 13	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)	Discussion Topics • Dear CEO letters -- conflicts of interest -- outsourcing • RDR -- qualifications -- independent v. restricted -- other • AIFMD • TCF Click here for event summary (pdf)

12th Dec 12	Ireland	Dublin
Irish Complaints Handling Group
Chairman John Clinton Senior Manager, Advisory Services Team Ernst & Young Guest Contributor William Prasifka Financial Services Ombudsman Tom Comerford Deputy Financial Services Ombudsman Clarion Hotel, IFSC, Excise Walk, Dublin 1	Discussion Topics FIRST SECTION A Discussion with the Financial Services Ombudsman - with William Prasifka SECOND SECTION General Discussion
Sponsors - Aptean

29th Nov 12	Social Media Group	London
Social Media - Communications & Compliance
Chairman Bridget Greenwood Head of UK Operations Financial Social Media Guest Contributor Lance Concannon Head of Digital Harvard Public Relations City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • General points • Training & internal communications • Complaints via Twitter Click here for event summary (pdf)

27th Nov 12	Compliance - Scotland	Edinburgh
Compliance
The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR • FCA/PRA developments • Outsourcing • Financial promotions • AIFMD • Client assets • Conflicts of interest: Dear CEO letter • FSA expectations: final notice to Savoy AM • Issues raised by members

26th Nov 12	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood Guest Contributor Nicholas Ross Senior Consultant Huntswood Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics PRESENTATION ‘Current issues in complaints handling: insights into best practice’ -- a presentation with Nicholas Ross, Senior Consultant, Huntswood MAIN MEETING • Complaints categories and emerging areas • Letter writing • Email correspondence • Late payment calculations • Complaints feedback from distributors • PPI: wider contact exercises Click here for event summary (pdf)
Sponsors - Huntswood & Aptean

20th Nov 12	Financial Crime	London
Financial Crime
Chairman Richard Walbach Clearconcepts Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Trade finance • PEPS and sanctions screening • Country risk assessments • Current frauds & trends Click here for event summary (pdf)
Sponsors - Grant Thotnton

19th Nov 12	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Risk modelling • Holistic risk & control management • Data governance Click here for event summary (pdf)

12th Nov 12	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Suitability • UCIS • RDR • Conflicts of interest letter Click here for event summary (pdf)

31st Oct 12	Social Media Group	London
Social Media - Communications & Compliance
Chairman Bridget Greenwood,Head of UK Operations, Financial Social Media Guest Contributor Geoff Cantello, Regional Director, Lithium City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics PRESENTATION: Digital Customer Engagement - a presentation by Lithium MEETING: • Twitter feeds across social media platforms • Measurement tools • PR and social media in search engine optimisation • Monitoring • Risk detection and auditing • Assigning roles to mitigate risk • Issues raised by members Click here for event summary (pdf)

30th Oct 12	Compliance - Scotland	Edinburgh
Compliance
Chairman Tim Kirk Partner BDO LLP The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR • FSA: outsourcing focus • FCA/PRA update • FATCA • CASS paper • PRIPs/MiFID II • Short selling • FSA quarterly consultation – Absolute return funds • Social media • AML measures • Issues raised by members

29th Oct 12	Complaints Handling	Edinburgh
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Root cause analysis • Social media • One-stage process: quality assurance • FOS issues • Freedom of Information Act • ATM disputes • Letters of authority • Re-opening complaints • FOS published decisions Click here for event summary (pdf)
Sponsors - Huntswood & Aptean

24th Oct 12	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • FSA financial crime newsletter • Reporting to the board • PEPs • Payment screening • Sanctions • Current frauds & trends Click here for event summary (pdf)
Sponsors - Grant Thotnton

15th Oct 12	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • ARROW visit feedback • Oversight roles: three lines of defence • Data governance Click here for event summary (pdf)

8th Oct 12	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)	Discussion Topics • RDR • UCIS • Suitability • FATCA • FCA/PRA Click here for event summary (pdf)

1st Oct 12	RDR Group	London
RDR
Chairman Neil Walkling RDR Specialist Ernst & Young City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics RDR: 'Preparing for Launch' Meeting Other Topics: • Fees & charging structures -- fee structures for DFM to introducers -- disclosure documents -- discretionary IMA's • RMAR -- additional FSA reporting requirements • Topics raised by members

27th Sep 12	Social Media Group	London
Social Media - Communications & Compliance
Chairman Bridget Greenwood Head of UK Operations Financial Social Media Guest Contributor Ian Robin Hootsuite Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics PRESENTATION & DISCUSSION "Managing the Social Enterprise" - Ian Robin, Hootsuite (White paper available on link below) Click here for event summary (pdf)

24th Sep 12	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • FOS complaints data • PPI: time-barring • Redress: financial offers • Publishing of complaints data • CMR annual report • Other issues Click here for event summary (pdf)
Sponsors - Huntswood & Aptean

20th Sep 12	Compliance - Scotland	Edinburgh
Compliance
Chairman Tim Kirk Partner BDO LLP The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FATCA • CASS paper • FSCS funding review • Remuneration structures • Suitability • Social media Click here for event summary (pdf)

17th Sep 12	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Stress testing • Risk appetite • Emerging risks Click here for event summary (pdf)

11th Sep 12	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Manu Sharma Senior Manager Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics SPECIAL FOCUS: FRAUD RISKS - DATA SECURITY Contributions from: • Grant Thornton • Investec GENERAL TOPICS • Information and IT Security • Third-Party Assurance • AML: ID Certification • Corporate Hospitality • New Frauds Click here for event summary (pdf)
Sponsors - Grant Thotnton

10th Sep 12	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)	Discussion Topics • RDR • Suitability • Sales incentives - guidance paper • FATCA Click here for event summary (pdf)

6th Sep 12	Asset Management	London
Asset Management
Chairman Julian Bartlett Partner Grant Thornton Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Risk appetite • FSA thematic review: outsourcing - areas of focus & concern • Client money • FATCA • Eurozone planning • AIFMD & risk management • FCA supervision - transition • Issues raised by members

21st Aug 12	Compliance - Scotland	Edinburgh
Compliance
Chairman Tim Kirk Partner BDO LLP The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FSA to FCA/PRA: transition • PRIPs • UCITS IV • Social Media • RDR Click here for event summary (pdf)

20th Aug 12	Complaints Handling	Edinburgh
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Root cause analysis • One-stage process • Quality checking • PPI & CMCs Click here for event summary (pdf)
Sponsors - Huntswood & Aptean

19th Jul 12	Social Media Group	London
Social Media Group
Chairman Justin Hunt, CEO, Social Media Leadership Forum Guest Contributor Bridget Greenwood, Head of UK Operations, Financial Social Media Ashley Hurst, Partner, Olswang LLP Tower 42, 25 Old Broad Street, London, EC2N 1HQ (map)	Discussion Topics PRESENTATIONS “Crisis Management: The Role of Social Media” - an overview by Ashley Hurst, Olswang LLP MEETING TOPICS • US experiences • General points Click here for event summary (pdf)

17th Jul 12	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • The Bribery Act: a retrospective • FSA Guidance: Banks’ defence against investment fraud • ARROW visits • PEPs • Current frauds & trends Click here for event summary (pdf)
Sponsors - Grant Thornton

16th Jul 12	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics RISK REPORTING MEETING "Board Packs: Less is More" -- a presentation by member firms GENERAL DISCUSSION • Skilled Persons Report (Section 166s) Click here for event summary (pdf)

9th Jul 12	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)	Discussion Topics • Centralised investment portfolios • Suitability • Appropriateness • RDR • Mobile phone recording • High-risk relationships • ICO Cookie Directive • FATCA Click here for event summary (pdf)

28th Jun 12	Social Media Group	London
Social Media Group
Chairman Bridget Greenwood Head of UK Operations Financial Social Media Tower 42, 25 Old Broad Street, London EC2N 1HQ	Discussion Topics LIVE CASE STUDY NatWest 'Glitch' MAIN MEETING • LinkedIn: danger of being compromised • Education/training • Social media policies update • US FS sector successes • Getting buy-in & engagement • Content presentation ideas • Setting up a Social presence: rights and wrongs • Regulatory compliance: a marketing perspective • Issues raised by members Click here for event summary (pdf)

26th Jun 12	Compliance - Scotland	Edinburgh
Compliance
Chairman Andrew Murray Senior Manager, Regulatory Risk Scottish Widows The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR • FSA guidance on past performance • General topics • Social media: crisis management Click here for event summary (pdf)

25th Jun 12	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Root cause analysis • PPI • FCA & PRA impact • Social media Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software

21st Jun 12	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Danny Maylin Manager Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics PRESENTATION “FATCA Overview: Operational Impact & Changes to KYC Processes” - a presentation by Danny Maylin, Grant Thornton DISCUSSION TOPICS • FATCA presentation • Bribery & corruption • Fourth Money-Laundering Directive • Current frauds & future threats Click here for event summary (pdf)
Sponsors - Grant Thornton

18th Jun 12	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics RISK MODELLING MEETING "Operational Risk Modelling: an approach combining data and scenarios" - presentation by Fidelity OTHER TOPICS • Quantification • Horizon risks • Fraud risk • Eurozone • Frameworks: global consistency • CRD IV • KRIs • Preparation for Solvency II • Outsourcing oversight • Issues raised by members

14th Jun 12	Asset Management	London
Asset Management
Chairman Julian Bartlett Partner Grant Thornton The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Suitability • FCA/PRA • AIFMD • RDR • FATCA • Issues raised by members

29th May 12	Compliance - Scotland	Edinburgh
Compliance
Chairman Fiona Middlemiss Director of Risk & Compliance Alan Steel AM The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • MiFID II • RDR legacy commission • ICO Cookie Directive • Changing approach to regulation • Mortgage Market Review • FSA Retail Conduct Risk paper • Financial promotions Click here for event summary (pdf)

28th May 12	Complaints Handling	Edinburgh
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood Guest Contributor Michael Hill Founder complaintsaregreat The Balmoral Hotel, Pribces Street, Edinburgh EH2 3EQ (map)	Discussion Topics PRESENTATION Complaint Management: Best Practice & Bad Examples -- a discussion with Michael Hill – complaintsrgreat.com MAIN DISCUSSION • Social media • One-stage process • Compensation: cash v vouchers • Best Practice: CCA section 75 issues • Monitoring outsourced complaints Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software

24th May 12	Social Media Group	London
Social Media - Risk, Regulation & Compliance
Chairman Michael Stannard Head of Internet Investigations Grant Thornton Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics PART ONE - SOCIAL MEDIA POLICIES - presentations from members: PART TWO - OTHER TOPICS • Issues raised by members Click here for event summary (pdf)

24th May 12	Social Media Group	London
Social Media - Marketing & Communications
Chairman Bridget Greenwood Head of UK Operations Financial Social Media Guest Contributor Andrew Carrier Deputy Managing Director Cognito Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics PART ONE - DELEGATE-LED DISCUSSION • General points • Live example: Deutsche Bank • Social attribution • Social engagement • Creating content • Best practice PART TWO - PRESENTATION Q&A "Social Media in the Finance Industry: What Works; What Doesn't" - a presentation by Andrew Carrier, Deputy Managing Director, Cognito Click here for event summary (pdf)

17th May 12	RDR Group	London
RDR
Chairman Neil Walkling RDR Specialist Ernst & Young The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Review of recently published papers • Platforms paper on intermediate unit holders: fund literature requirements • Advisory portfolio management services: application of ongoing advice • Legacy assets: GPP transfer commission post RDR • Issues raised by members

15th May 12	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • FSA Anti-Bribery Review of Investment Banks: producing MI • Financial crime guide • Direct debit indemnity rules • Data privacy & EU proposed legislative changes • New issues Click here for event summary (pdf)
Sponsors - Grant Thornton

14th May 12	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics RISK APPETITE MEETING 'Risk Appetite: Limit Setting and Responding to Breaches' Presentation – Q&A • AllianceBernstein Other Topics • Risk strategy • Measuring risk culture • Fraud & money laundering • Management of emerging/horizon risks • Issues raised by members

1st May 12	Private Wealth Management	London
Private Wealth Management
Chairman Sterl Greenhalgh Partner Grant Thornton City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics PRESENTATION 'Financial Crime Update' - a discussion led by Sterl Greenhalgh, Grant Thornton MAIN MEETING • Bribery Act • Bearer shares • Financial crime: emerging threats • Suitability review • RDR Click here for event summary (pdf)

26th Apr 12	Social Media Group	London
Social Media - Risk, Regulation & Compliance
Chairman Michael Stannard Head of Internet Investigations Grant Thornton Guest Contributor Conor Ward Partner Hogan Lovells Ben Regnard Weinrabe Partner Hogan Lovells Paul Mewett Head of Internal Investigations Grant Thornton The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics PRESENTATIONS 'Social Media: Legal Pitfalls' - Conor Ward and Ben Regnard Weinrabe, Hogan Lovells 'Monitoring Social Media' - Paul Mewett, Grant Thornton MEETING TOPICS • Current issues • T & Cs • Social media as a new delivery channel • Security & reputational risk • Reasons for failure in social media • Recruitment • Policies & education • General points Click here for event summary (pdf)

26th Apr 12	Social Media Group	London
Social Media - Marketing & Communications
Chairman James Whatley Senior Associate Director, Digital Ogilvy PR Guest Contributor Lance Concannon Digital Lead Text 100 The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics PRESENTATIONS 'Social: A View from Ogilvy' - James Whatley, Ogilvy PR 'Social Channels: Best Practice & Live Examples' - Lance Concannon, Text 100 MEETING TOPICS • Planning, set up & training • Twitter • Employee accounts • Dealing with negatives • Monitoring & measurement • General points Click here for event summary (pdf)

23rd Apr 12	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Complaint handlers: training & competence • Monitoring outsourced complaints • CMC activity • IFA compensation • FSA complaint reporting data • Customer communications methods Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software

17th Apr 12	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Coutts fine • ID verification for high-risk clients • Bribery & corruption • Iranian Sanctions • Social media crime • German market: fund verification • Current crime trends Click here for event summary (pdf)
Sponsors - Grant Thornton

16th Apr 12	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Inherent & residual risks • Control frameworks • Three lines of defence: definitions • Olympics Click here for event summary (pdf)

2nd Apr 12	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FATCA • Dodd Frank • Risk profiling and suitability review • Coutts’ fine • FSA Retail Conduct Risk Outlook paper • FCA Click here for event summary (pdf)

29th Mar 12	Social Media Group	London
Social Media - Marketing & Communications
Chairman Phil Sherrell Partner Bird & Bird Guest Contributor Danae Silvey Industry Manager - Finance Google UK The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics PRESENTATION Social Media in Marketing – A View from Google UK - presentation and Q&A session with Danae Silvey MAIN MEETING • Ideas • Live example: using the contact centre • Content sharing & positioning • Engaging the board • Handling complaints • Live example:managing complaints • General points Click here for event summary (pdf)

29th Mar 12	Social Media Group	London
Social Media - Risk, Regulation & Compliance
Chairman Michael Stannard Head of Internet Investigations Grant Thornton Guest Contributor Phil Sherrell Partner Bird & Bird The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics PRESENTATION Brand Use (and Misuse) in Social Media - A Legal View - a presentation and Q&A session with Phil Sherrell MAIN MEETING • Key challenges • Social media policies • YouTube • Record-keeping requirements • US regulations • Customer services & complaints Click here for event summary (pdf)

27th Mar 12	Compliance - Scotland	Edinburgh
Compliance
Chairman Derek Pennor Senior Manager, Financial Services Ernst & Young The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • ICO Cookie Directive • Changing approaches to regulation • FATCA • FSA retail conduct review paper • KIDs Click here for event summary (pdf)

26th Mar 12	Complaints Handling	Edinburgh
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 3EQ (map)	Discussion Topics • Managing increasing customer expectations • One-stage process • Managing complaint volumes • FOS adjudications • Freedom of Information Act Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software

20th Mar 12	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Bribery & Corruption • Sanctions • FATF paper • Due diligence on third parties • Emerging & future threats Click here for event summary (pdf)
Sponsors - Grant Thornton

19th Mar 12	Operational Risk	London
Operational Risk
Chairman Anita Bradshaw Consultant Crowe Horwath The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Evidencing risk appetite • Key risk indicators • EU regulator impact • FCA/PRA impact • Eurozone issues • Issues raised by members Click here for event summary (pdf)

6th Mar 12	Asset Management	London
Asset Management
Chairman Scott Soper Compliance Director Foster Denovo The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • UCITS: ESMA draft guidelines • RDR • Market abuse: wall crossing • FATCA • Dodd-Frank • MiFID II: ESMA compliance department consultation • Eurozone impact Click here for event summary (pdf)

5th Mar 12	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)	Discussion Topics • Suitability • Appropriateness • Product Intervention • Mobile Phone Recording • Error Corrections • RDR Click here for event summary (pdf)

28th Feb 12	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Nicky Young Senior Regulatory Affairs Consultant Standard Life The Balmoral Hotel, Princes Street, Edinburgh EH2 3EQ (map)	Discussion Topics • RDR • UCITS/KIDs • Product innovation/intervention • Changing approach to regulation • Payment Services Directive • FSCS Click here for event summary (pdf)

27th Feb 12	Complaints Handling	London
Complaints Handling
Chairman John Howard Consultant Huntswood Guest Contributor Adam Samuel Independent Consultant Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics PRESENTATION "The Future of Complaints Handling" - Adam Samuel, Independent Consultant MAIN DISCUSSION • Dealing with CMCs • Managing complaint volumes • Complaints in other jurisdictions • FOS adjudications: premium pricing Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software

21st Feb 12	Financial Crime	London
Financial Crime
Chairman Ben Luddington Associate Director Grant Thornton Guest Contributor Stephen Hardwick Principal Officer, Strategy & Prevention SOCA Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics SOCA SPECIAL MEETING A discussion with Stephen Hardwick, Principal Officer, Strategy & Prevention, Serious Organised Crime Agency
Sponsors - Grant Thornton

20th Feb 12	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Eurozone update • Frameworks v policies • ARROW visit preparation • Error and compensation policies • MI reports: levels & types Click here for event summary (pdf)

9th Feb 12	RDR Group	London
RDR
Chairman Neil Walkling RDR Specialist Ernst & Young City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • General challenges • Qualifications • CP11/26 trail commission • PRIPs implications • Fund performance • VAT guidance • Qualifications • Aligning systems and controls • Advisor charging Click here for event summary (pdf)

31st Jan 12	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Nicky Young Senior Regulatory Affairs Consultant Standard Life The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • MiFID • Distributor Influenced Funds (DIFs) • Social media • FSA: changing approach to regulation • UCITS: KIDs • Freedom of Information Act Click here for event summary (pdf)

30th Jan 12	Complaints Handling	Edinburgh
Complaints Handling
Chairman Stuart O'Sullivan Partner Huntswood Guest Contributor Mathew James Independent Consultant The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics FIRST SESSION - LUNCH "Customer Services: Present and Future" -- a discussion with Mathew James - Independent Consultant SECOND SESSION - MEETING Discussion Topics • Regulatory developments • One-stage process • Freedom of Information Act • Dealing with CMCs • Third parties: achieving a fair outcome • IFA invoices • Payment of Interest Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond

24th Jan 12	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Bribery Act Guidance • FSA Financial Crime Guide • Fraud Risks: Central Bank of Libya • Iran Sanctions • SOCA SARS Annual Report Click here for event summary (pdf)
Sponsors - Grant Thornton

23rd Jan 12	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Risk appetite • Eurozone scenarios • Recession risk • SARS Click here for event summary (pdf)

19th Jan 12	Asset Management	London
Asset Management
Chairman Tony Bronk Head of Compliance Ahli United Bank Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Implications of regulatory reform • Governance processes • Eurozone scenarios • RDR • MiFID II • UCITS V • PRIPS • FATCA • Dodd Frank Act • CASS • Mobile telephone recording • Transaction reporting Click here for event summary (pdf)

16th Jan 12	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Suitability • Eurozone crisis • MiFID, PRIPs & UCITS • RDR Click here for event summary (pdf)

12th Dec 11	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Eurozone break-up scenarios • Hedging • Scenario Analysis Click here for event summary (pdf)

7th Dec 11	Data Assurance	London
Data Assurance
The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics IT SECURITY FOCUS • Cyber attacks -- preparation -- minimising impact -- terrorist threats to UK banks -- emerging threats & trends • Recording mobile devices • Mobile applications • Data encryption • Leveraging legacy systems • GRC -- risk assessment methodologies & tools -- third parties -- ERM • Security within the cloud -- defending data -- data recovery -- internal cloud -- hybrid clouds • Education/Raising awareness • Issues raised by members
Sponsors - RSA & Verizon

5th Dec 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London, EC2A 1AG (map)	Discussion Topics • Bribery Act • Sanctions • Review of 2011 • Third-party payments • Other Click here for event summary (pdf)
Sponsors - Grant Thornton

29th Nov 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Craig Hamilton Senior Manager KPMG The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Client money & assets return • PS11/13 • Market Abuse Directive • FATCA • MiFID II • Dodd Frank • New media • Issues raised by members

28th Nov 11	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan Partner Huntswood Guest Contributor Michael Hill Founder complaintsrgreat.com Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FIRST SESSION Complaint Management: best practice & bad examples --a discussion with Michael Hill – complaintsrgreat.com SECOND SESSION • Quality assurance processes • Claims management companies Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software

21st Nov 11	RDR Group	London
Retail Distribution Review
Chairman Neil Walkling RDR Specialist Ernst & Young City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Key challenges • FSA papers • FSA feedback • Platform charging Click here for event summary (pdf)

14th Nov 11	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Operational risk: impact on other risk types • Skills for risk managers • Scenario analysis: program/resource utilisation • Hacking vulnerability Click here for event summary (pdf)

8th Nov 11	Asset Management	London
Asset Management
Chairman Tony Bronk Head of Compliance Ahli United Bank The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • UCITS IV & V • AIFMD • MiFID II • Dodd Frank • FATCA • Fund manager examination standards • FSA Arrow Visits • Corporate presence on social networking sites • Competence and ethics Click here for event summary (pdf)

3rd Nov 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Lisa C Burton Head of eDisclosure, Forensic & Investigation Services Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London, EC2A 1AG (map)	Discussion Topics FIRST SESSION 'When the Regulator Calls: SEC v Tamas Corporation' - a presentation by Lisa Burton, Grant Thornton SECOND SESSION • FSA: Financial Crime Guide • EU 4th Money Laundering Directive • Sanctions • Bribery • UBS case • Future risks • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton

25th Oct 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Craig Hamilton Senior Manager KPMG The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR • Financial promotions • MiFID II • Client categorisation • Other issues Click here for event summary (pdf)

24th Oct 11	Complaints Handling	Edinburgh
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FOS publication • Communications methods • FSA rule changes • Root cause • FSA guidance • Future complaints Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond

13th Oct 11	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)	Discussion Topics • Suitability & appropriateness • SIPPS • MiFID II • FATCA • UCITS IV • Future of the FSA • Client communication - new media Click here for event summary (pdf)

29th Sep 11	RDR Group	London
Retail Distribution Review
Chairman Neil Walkling RDR Specialist Ernst & Young Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Main challenges • FSA Platform Policy Statement • Simplified advice • Stakeholder v personal pensions • Legacy commission on existing policies • Qualifications Click here for event summary (pdf)

27th Sep 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR --legacy commission --simplified advice • FSA transparency CP • FSA review: Investment complaints • ESMA discussion paper - ETF UCITS • FATCA • Issues raised by members

26th Sep 11	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood Guest Contributor Dominic Lindley Principal Policy Advisor, Public Affairs Which? Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FIRST SESSION - WHICH? PRESENTATION Complaints: Are Firms Treating Customers Fairly? SECOND SESSION - GENERAL TOPICS • FOS issues • One-stage process • New media • Current and future complaints Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond

22nd Sep 11	Data Assurance	London
Data Assurance
Chairman Stephen Bonner Partner KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Social media • Education • Third parties & outsourcing • DLP regulation • Emerging threats & trends in cyber security • Advanced persistent threats • Corporate espionage Click here for event summary (pdf)
Sponsors - RSA Security & Verizon

20th Sep 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London, EC2A 1AG (map)	Discussion Topics • New prosecution cases • Identifying and verifying automated payments from third parties • FSA Issues • Bribery Act • UBS case • Future threats and current frauds • Other Click here for event summary (pdf)

15th Sep 11	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FRAMEWORK PRESENTATION • Fidelity GENERAL DISCUSSION • Risk of regulatory liabilities • Project risk assessments • New products risk • Emerging risks • Issues raised by members

5th Sep 11	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo City of London Club, 19 Old Broad Street, London (map)	Discussion Topics • RDR • Dear CEO letter: Client Attitude Towards Risk • FSA Letter • FSA TCF Handbook • Bribery Act • FSCS Levy • FATCA Click here for event summary (pdf)

22nd Aug 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Craig Hamilton Senior Manager KPMG The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • MiFID • UCITS IV • CP11/16 • New regulatory structure • RDR - platforms - legacy/commission/advisor charging • European regulation • Issues raised by members

25th Jul 11	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo At Foster Denovo's Offices, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)	Discussion Topics • Dear CEO Letter • Appropriateness • UCITS IV • Dodd-Frank/FATCA • Money Laundering • RDR Click here for event summary (pdf)

19th Jul 11	Asset Management	London
Asset Management
Chairman Derek Pennor Senior Manager, Financial Services Ernst & Young Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • RDR • UCITS IV & V • FATCA • Dodd Frank Bill • Telephone tapping • Bribery Act • Client assets • FSCS levy Click here for event summary (pdf)

14th Jul 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor David Clark DCI Head of Operations City of London Police Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics FIRST SESSION A discussion with the City of London Police SECOND SESSION • New crimes • Bribery Act • AML • Sanctions • Social Media • Social engineering Click here for event summary (pdf)
Sponsors - Grant Thornton

28th Jun 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Derek Pennor Senior Manager, Financial Services Ernst & Young The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • The new regulator • The FOS • RDR Click here for event summary (pdf)

27th Jun 11	Complaints Handling	Edinburgh
Complaints Handling
Chairman Richard Holloway Principal Consultant Huntswood Guest Contributor Sarah Cook Managing Director The Stairway Consultancy The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics FIRST SESSION - PRESENTATION Putting The Consumer At The Heart Of Your Complaints Handling - a presentation by Sarah Cook, The Stairway Consultancy SECOND SESSION - DISCUSSION • One-stage process • Root cause analysis • PPI • FOS issues Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond

20th Jun 11	Operational Risk	London
Operational Risk
Chairman Anita Bradshaw Risk Director, Business Advisory Services Wipro Technologies Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FRAMEWORK PRESENTATION • Newton Investment Management GENERAL DISCUSSION • Stress-testing • KRIs • Control frameworks • Policy enforcement & technology • External loss data • Operational risk capital model • Senior management engagement - operational risk reporting • Turning backward looking data into forward looking risk management • Issues raised by members Click here for event summary (pdf)

16th Jun 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor John Plank Principal Officer, Prevention SOCA Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics SESSION ONE - SOCA • Presentation • Discussions SESSION TWO - OTHER TOPICS • SOCA discussions • Bribery Act • Sanctions • Monitoring representative offices Click here for event summary (pdf)
Sponsors - Grant Thornton

9th Jun 11	Data Assurance	London
Data Assurance
Chairman Malcolm Marshall Partner KPMG Guest Contributor Alastair Barter Senior Policy Officer Business and Industry Group ICO City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Changing risks • Classifying data • Education • Data monitoring • Dealing with data leaks • Internal emails • Sharing information • Social networking sites Click here for event summary (pdf)
Sponsors - RSA Security & Verizon

7th Jun 11	RDR Group	London
Retail Distribution Review
Chairman Neil Walkling RDR Specialist Ernst & Young Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Main Issues • Platforms • Simplified Advice • Legacy Commission • Advisor Charging for Vertically Integrated Firms • Restricted v Independent Advice • FSA Newsletter Click here for event summary (pdf)

2nd Jun 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Jennifer Duncan Senior Manager KPMG The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR • UCITS IV • Simplified products • New regulators Click here for event summary (pdf)

1st Jun 11	Complaints Handling	London
Complaints Handling
Chairman Richard Holloway Principal Consultant Huntswood Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • FOS issues • One-stage process • PPI • Future complaints • Consumer Insurance Bill • Quality assurance Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software

19th May 11	Asset Management	London
Asset Management
Chairman Derek Pennor Senior Manager, Financial Services Ernst & Young City of London Club, 19 Old Broad Street, EC2N 1DS (map)	Discussion Topics • FSCS Levy • FSA Governance • Bribery Act • Sanctions • UCITS IV • Ethics • Data protection • RDR • FATCA Click here for event summary (pdf)

16th May 11	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Enterprise-wide risk management • Incident management • Technology solutions Click here for event summary (pdf)
Sponsors - BDO LLP

10th May 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Joint ventures • Bribery Act • Sanctions • Annual risk assessments • Future risks Click here for event summary (pdf)
Sponsors - Grant Thornton

9th May 11	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Guest Contributor Ben Luddington Associate Director Grant Thornton Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FIRST SESSION - THE BRIBERY ACT - led by Ben Luddington, Associate Director, Grant Thornton SECOND SESSION - OTHER TOPICS • Suitability • Appropriateness • Calls & messaging • RDR Click here for event summary (pdf)

5th May 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Craig Hamilton Senior Manager KPMG The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • AIFM Directive • Product intervention • AIFM Directive • Solvency II • MiFID II • UCITS IV • RDR Click here for event summary (pdf)

4th May 11	Complaints Handling	Edinburgh
Complaints Handling
Chairman Richard Holloway Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh ED2 2EQ (map)	Discussion Topics FIRST SESSION - COURT RULING: PPI - led by Huntswood, with a presentation from CDC Software on dealing with high complaint volumes. SECOND SESSION - OTHER TOPICS • PPI judicial review • FOS Corporate Plan • PPI - recording effective root cause • IFA compensation levels • FSA proposed changes to complaint handling rules Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond

14th Apr 11	RDR Group	London
Retail Distribution Review
Chairman Neil Walkling RDR Specialist Ernst & Young Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Advisor charges/trail commission • Independent v restricted advice • Documentation • Qualifications • Simplified advice Click here for event summary (pdf)

13th Apr 11	Financial Crime	London
The Bribery Act - Special Meeting
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics The Bribery Act - New Guidance Following the release of guidance from the Government and the Serious Fraud Office, Sterl Greenhalgh from Grant Thornton will lead discussions on the implications for the finance sector.
Sponsors - Grant Thornton

4th Apr 11	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FRAMEWORK PRESENTATIONS • National Savings & Investments • Nationwide GENERAL DISCUSSION • FSA risk outlook • Risk & strategic planning: adding value • Business-led horizon scanning • Risk & Control Functions • Embedding Risk Training Framework Click here for event summary (pdf)

31st Mar 11	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • RDR update • Sanctions • Bribery Act • RDR • MiFID II • Suitability & appropriateness • New NEDs requirements Click here for event summary (pdf)

29th Mar 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Derek Pennor Senior Manager, Financial Services Ernst & Young The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR platform paper • FSA product intervention • Impact of regulatory changes • UCITS IV • FOS issues • Significant influence function Click here for event summary (pdf)

28th Mar 11	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood Guest Contributor Sarah Cook Managing Director The Stairway Consultancy Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FIRST SESSION - PRESENTATION Putting The Consumer At The Heart Of Your Complaints Handling - a presentation by Sarah Cook, The Stairway Consultancy SECOND SESSION - DISCUSSION • FOS -- relationship -- corporate plan • PPI -- Judicial review -- Recording effective root cause • FSA: TCF complaint audits • EU consultation on collective redress • Measuring complaint handler performance • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood

22nd Mar 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Reactions to social unrest • Sanctions -- Libya -- Iran • Bribery Act -- update to guidance -- policing: FSA, FSO • PEPs: corruption risk • Practical usage of risk matrices • On-boarding and risk evaluation • Future risks Click here for event summary (pdf)
Sponsors - Grant Thornton

10th Mar 11	Data Assurance	London
Data Assurance
Chairman George Thompson Director KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Data protection • Dealing with third parties • Clouds • Personal devices in the work place • Raising awareness • Electronic espionage & WikiLeaks Click here for event summary (pdf)
Sponsors - RSA Security & Verizon

1st Mar 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Kevin Farrell Senior Manager, Financial Services BDO LLP The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • HMT regulation paper • Impact of regulator changes • FSA product intervention • RDR • Dealing with the FOS • Other issues Click here for event summary (pdf)
Sponsors - BDO LLP

23rd Feb 11	RDR Group	London
Retail Distribution Review
Chairman Neil Walkling RDR Specialist Ernst & Young Guest Contributor Steve Mapes Controls Assurance Director Cofunds Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • FSA Platforms paper • Restricted vs. independent advice • Competence and professionalism • Simplified advice • General points Click here for event summary (pdf)

22nd Feb 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Ian Gray, National Fraud Intelligence Bureau City of London Police Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics FIRST SESSION A discussion with the National Fraud Intelligence Bureau SECOND SESSION • Sanctions • Bribery Act • AML • EU Fraud: cultural differences in jurisdictions • Social engineering • PA dealing • Carbon credit trading • Social media • Issues raised by members
Sponsors - Grant Thornton

21st Feb 11	Operational Risk	London
Operational Risk
Chairman Anita Bradshaw Risk Director, Business Advisory Services Wipro Technologies Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Organisational structure: three lines of defence • Enhancing / implementing a new risk framework • Recent regulations • FSA levy • FSA: new approach to regulation • Assurance framework Click here for event summary (pdf)

17th Feb 11	Asset Management	London
Asset Management
Chairman Tony Bronk Director BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • FSCS levy • Assessing suitability • UCITS IV • RDR • Bribery Act • CASS • Mobile-device recording Click here for event summary (pdf)

27th Jan 11	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Suitability Paper • Bribery Act • MiFID II • AIFM Directive • Dodd-Frank Bill • RDR Click here for event summary (pdf)

25th Jan 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Kevin Farrell Senior Manager, Advisory Practice BDO LLP The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR • Links with EU directives • MiFID II • FSA Suitability Guidance • Skills Assurance • Simple Financial Products • PRIPs • Client Money • FATCA • Bribery Act Click here for event summary (pdf)
Sponsors - BDO LLP

24th Jan 11	Complaints Handling	Edinburgh
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FOS corporate plan • FSA Consumer Paper • Qualifications • Root cause analysis • Using FOS decisions • Responsible persons • FSA enforcement • Volumes of FOS cases • Trends Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond

18th Jan 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Patric Marshall Director, EMEA World-Check Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Anti-bribery initiatives • Future threats • Sanctions and Iran Click here for event summary (pdf)
Sponsors - Grant Thornton & World-Check

17th Jan 11	Operational Risk	London
Operational Risk
Chairman Stuart Thomson Partner Ernst & Young Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • New product risks • Forward-looking risk assessments • Future risks • Recent papers • Remuneration Code • Bribery Act • Embedding risk management • Embedding risk Click here for event summary (pdf)

1st Dec 10	Complaints Handling	Dublin
Complaints Handling
Chairman John Clinton Senior Manager, Advisory Services Team Ernst & Young Guest Contributor William Prasifka Financial Services Ombudsman The Clarion Hotel, IFSC Dublin 1	Discussion Topics FIRST SESSION "Dealing with the the FSO" - guest speaker William Prasifka, Financial Services Ombudsman SECOND SESSION Open Discussion
Sponsors - CDC Respond

29th Nov 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Patric Marshall Director, EMEA World-Check Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Bribery Act update • Whistleblowing/Dodd Frank Bill • Sanctions • Sanctions and Iran • Margaret Cole Speech • Trends & drivers / future frauds Click here for event summary (pdf)
Sponsors - Grant Thornton & World-Check

25th Nov 10	RDR Group	London
RDR Group
Chairman Patrick Storey Senior Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Platform remuneration • Rebates from product providers to customers • Investing in authorised funds through nominees • Extension of adviser charging standards to platforms • Best execution • Product differentiation • Conclusion Click here for event summary (pdf)
Sponsors - Grant Thornton

23rd Nov 10	Compliance - Scotland	Edinburgh
Compliance Group
Chairman Kevin Farrell Senior Manager, Advisory Practice BDO LLP The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR: FSA platforms paper • Bribery Act • FSA remuneration disclosure paper • FSCS: raised FOS limit • Issues raised by members

22nd Nov 10	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood Guest Contributor Ian Woodman Financial Ombudsman Service Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FIRST SESSION A DISCUSSION WITH THE FOS "Plans and Priorities" - Ian Woodman, Financial Ombudsman Service SECOND SESSION • FSA Consumer Complaints Paper -- Two-stage process -- Root cause analysis -- FOS relationship -- Senior responsibility • Issues raised by members
Sponsors - CDC Software & Huntswood

15th Nov 10	Operational Risk	London
Operational Risk
Chairman Dan Taylor Partner BDO LLP City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Governance -- FSA: effective corporate governance -- risk of changing culture • FSA CP: enhancing frameworks in TSA to OR • Communications: embedding risk management • Embedding risk appetite/tolerance • Solvency II Click here for event summary (pdf)
Sponsors - BDO LLP

8th Nov 10	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • AIFM • Remuneration • Client Money • RDR -- latest update -- confirming fee instructions to clients • Dodd-Frank Bill • Issues raised by members

2nd Nov 10	Data Assurance	London
Minimising the Risk of Data Breaches
Chairman Stewart Room Partner Field Fisher Waterhouse LLP Guest Contributor David Evans, Business and Industry Group, ICO Philip Keown, Head of Technology Risk Services, Grant Thornton Lee Miller, GRC Solutions Lead, Verizon Rashmi Tarbatt, Chief Security Architect, RSA Security The Andaz, 40 Liverpool Street, London EC2M 7QN (map)	Discussion Topics • Data breaches • A global problem • Protecting business information • Assurance, control & governance • Assessing third-party risks • Cloud computing • Dealing with breaches Click here for event summary (pdf)
Sponsors - RSA & Verizon

25th Oct 10	Complaints Handling	Edinburgh
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FSA Consumer Paper -- abolition of the two-stage process -- taking account of the ombudsman’s decisions -- root cause analysis -- implementation timelines • FOS Relationship • Complaints qualifications • Expression of dissatisfaction • TCF/MI/targets - uphold rates • PPI Judicial Review Click here for event summary (pdf)
Sponsors - CDC Software & Huntswood

11th Oct 10	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Guest Contributor Sterl Greenhalgh Partner Grant Thornton Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics THE BRIBERY ACT - A discussion led by Sterl Greenhalgh, Partner, Forensic & Investigation Services, Grant Thornton GENERAL TOPICS • RDR • ARROW visits • Best execution monitoring Click here for event summary (pdf)

7th Oct 10	Asset Management	London
Asset Management
Chairman Tony Bronk Director BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Bribery Act • Enhanced CAS • RDR • Stress testing • Liquidity policies and contingency funding requirements • AIFM update • UCITS IV • Data protection / security • Provision of MI to board • Living wills • Issues raised by members

5th Oct 10	Compliance - Scotland	Edinburgh
Compliance Group
Chairman Peter Downie Company Secretary Money Dashboard The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • RDR -- restricted vs. independent advice -- charging models -- qualifications -- platforms • Fund specific illustrations • Presenting MI to the board • Data protection/security Click here for event summary (pdf)

27th Sep 10	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Qualifications for complaint handlers • Complaints MI • Root cause analysis • FOS Relationship • Retrospective Complaints Handling / PPI • Other Issues Click here for event summary (pdf)
Sponsors - CDC Software & Huntswood

23rd Sep 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics GENERAL TOPICS • Bribery Act • Sanctions • Insider dealing OPEN DISCUSSION • Future threats Click here for event summary (pdf)
Sponsors - Grant Thornton

20th Sep 10	Operational Risk	London
Operational Risk
Chairman Fiona Raistrick Director, Financial Services Risk & Regulatory Practice BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Control function interconnectivity • Approaches to risk appetite • ICAAP: estimating risk & AAF • Presenting MI to the board • Embedding accountability: Turnbull sign-off • Risk systems • Embedding ERM Click here for event summary (pdf)
Sponsors - BDO LLP

16th Sep 10	RDR Group	London
RDR Group - London
Chairman Tim Reid Director, Financial Services Group Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Simplified advice • Independent vs. restricted advice • Platforms • Distribution in a zero commission world • Qualifications • VAT payments • Other issues Click here for event summary (pdf)
Sponsors - Grant Thornton

13th Sep 10	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • RDR • FSA supervision • Liquidity • Remuneration code • Corporate governance • Living wills Click here for event summary (pdf)

26th Jul 10	Complaints Handling	Edinburgh
Complaints Handling
Chairman John Seaton Principle Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Root cause analysis • PPI • Changes to DISP rules • CMCs Click here for event summary (pdf)
Sponsors - CDC Software & Huntswood

20th Jul 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Ben Luddington Associate Director Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Sanctions • The Bribery Act • Current trends • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton

8th Jul 10	Asset Management	London
Asset Management
Chairman Tony Bronk Director - Compliance BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • UCITS IV • AIFM • RDR • Stress testing / liquidity policies and contingency funding • Data protection / privacy • Provision of MI to the board • Living wills • Enhanced CAS • US custodians / persons Click here for event summary (pdf)

28th Jun 10	Complaints Handling	London
Complaints Handling
Chairman John Seaton Primciple Consultant Huntswood Guest Contributor Michael Wallis Customer Care and Support Manager Page & Moy Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics PRESENTATION Managing Complaints and Feedback A presentation by Michael Wallis, Customer Care & Support Manager, Page & Moy OTHER TOPICS • Root cause analysis • Contextualising data • Complaint trends • FOS relationship • Communication methods Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood

22nd Jun 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Colin Cowan Detective Superintendent Overseas Anti-Corruption and Bribery Unit City of London Police Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Bribery Act update • City of London Police Overseas Ant-Corruption Unit update • Grant Thornton survey on the Bribery Act • Fraud trends Click here for event summary (pdf)
Sponsors - Grant Thornton

21st Jun 10	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Guest Contributor Anita Bradshaw, Senior Consultant KTN Alex Ball Consultant Cognisco BDO's Offices, 55 Baker Street, London W1U 7EU (map)	Discussion Topics PRE-MEETING 2.30 - 3pm "People Risk: The Final Frontier" - a presentation/discussion led by Anita Bradshaw, KTN and Alex Ball, Cognisco MAIN MEETING 3.15 - 5pm • KRIs • Turning backward looking data into forward looking risk management • Operational risk capital model • Senior management engagement • External loss data Click here for event summary (pdf)
Sponsors - BDO LLP & Microsoft

17th Jun 10	Complaints Handling	Dublin
Complaints Handling
Chairman John Clinton Senior Manager, Advisory Services Team Ernst & Young Guest Contributor William Prasifka Financial Services Ombudsman The Clarion Hotel, IFSC, Dublin 1	Discussion Topics IMPACT OF NEW OMBUDSMAN A discussion of current topical issues with William Prasifka, Financial Services Ombudsman GENERAL TOPICS • Complaint trends • Root cause analysis Click here for event summary (pdf)
Sponsors - CDC Software

14th Jun 10	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • RDR • PA dealing • Market abuse • Corporate governance • US foreign accounts: tax compliance • KYC information & categorisation • Arrow feedback Click here for event summary (pdf)

9th Jun 10	Compliance - Scotland	Edinburgh
Compliance Group
Chairman Catrin Thomas Partner PricewaterhouseCoopers Guest Contributor Keith Webb RDR Consultant PricewaterhouseCoopers The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics RETAIL DISTRIBUTION REVIEW • Simplified advice • Impact of platforms • Other issues OTHER TOPICS • TCF: outcomes focus • Measuring the value of compliance • Optimising the value of MI Click here for event summary (pdf)
Sponsors - PricewaterhouseCoopers

24th May 10	Complaints Handling	Edinburgh
Complaints Handling
Chairman John Seaton Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics PRESENTATION /DISCUSSION 2.30 - 3pm FSA Complaint Handling Review - Caroline Walters, Huntswood MAIN MEETING 3 - 4.30pm • Quality assurance • Root cause analysis • Training & competence • Complaint handler productivity • Contextualising data • Issues raised by members Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond

18th May 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Arjun Medhi Staff Fraud Advisor CIFAS Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics MAIN MEETING 2.15 - 3.30 • Sanctions • The Bribery Bill • International blacklists • New fraud techniques PRESENTATION/DISCUSSION 3.30 - 4.00 "Sharing responsibility for combatting internal fraud" - Arjun Medhi, Staff Fraud Advisor, CIFAS Click here for event summary (pdf)
Sponsors - Grant Thornton

17th May 10	Operational Risk	London
Operational Risk
Chairman Ian Cottrell Director BDO LLP Guest Contributor Jeremy Wood Director Finsbury Solutions Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics PRE-MEETING 2.30 - 3pm Spreadsheet Risk Management: Overcoming Barriers to Effective Spreadsheet Control - Jeremy Wood, Finsbury Solutions MAIN MEETING 3.15 - 5pm • Risk measurement: inherent v residual • Pillar II add-ons • Embedding risk frameworks • Stress testing • Election impact • Sovereign debt risk Click here for event summary (pdf)
Sponsors - BDO LLP & Microsoft

10th May 10	Private Wealth Management	London
Private Wealth Management
Chairman Gareth Greenwood Senior Manager - Regulatory Team Deloitte Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • ARROW feedback • Effective corporate governance • FSA business plan & risk outlook • RDR: commercial impact • Client money • Complaints handling Click here for event summary (pdf)
Sponsors - Deloitte & Microsoft

6th May 10	Asset Management	London
Asset Management
Chairman Scott Soper Compliance Director Foster Denovo Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • UCITS IV • RDR/PRIPS interaction • AIFM directive • ARROW visit feedback • Data protection/security • Provision of MI to boards • CAS letter Click here for event summary (pdf)

27th Apr 10	Compliance - Scotland	Edinburgh
Compliance Group
Chairman Tim Kirk Partner BDO LLP Guest Contributor Jeremy Evans Professional Standards Policy Team FSA The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR: professional standards • Complaints transparency • Implications of FSA's new approach to regulation • ARROW visit feedback Click here for event summary (pdf)

26th Apr 10	Complaints Handling	London
Complaints Handling
Chairman John Seaton Principal Consultant Huntswood Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Consumer action groups • FSA/FOS/OFT complaints paper • Thematic reviews • Complainant communications methods • Best practice: working with other industries • Complaint handler productivity: FSA reporting • Quality assurance: balance between independent checking & management oversight • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood

19th Apr 10	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics PRE-MEETING 2.30 - 3pm Presenting MI to the Board: Discussion on Best Practice - facilitated by Andrew Smart, Manigent MAIN MEETING 3.15 - 5pm • MI: measuring success • Operational risk modelling • Loss reporting: best practice • Scenarios Click here for event summary (pdf)
Sponsors - BDO LLP & Microsoft

23rd Mar 10	Compliance - Scotland	Edinburgh
Compliance Group
Chairman Peter Downie Company Secretary Money Dashboard The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Consumer Protection Committee • FSA Financial Risk Outlook • RDR: commercial impact • Current climate: comments vs. advice • Client money • PPI - update • Financial promotions Click here for event summary (pdf)

22nd Mar 10	Complaints Handling	Edinburgh
Complaints Handling
Chairman John Seaton Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • New consumer complaints paper • Complaints communications • Interest rates: redress payments • PSD: redress payments • Complaints trends • Other issues Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood

16th Mar 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Bribery Bill update • Data protection and information security breaches • Third-party distributors – AML review • Reliance on fund distributors operating within Taiwan • Record keeping of AML verification documents • Fraud trends Click here for event summary (pdf)
Sponsors - Grant Thornton

15th Mar 10	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Guest Contributor Anita Bradshaw Senior Consultant Logica Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics PRE-MEETING 2.30pm - 3pm KRIs/Risk Appetite - Nationwide presentation/discussion MAIN MEETING 3.15pm • The perfect risk dashboard • Use of risk policies: carrot v. stick approach • Credit crisis: new risks • ICAAP: regulatory update • Liquidity • ARROW and information sharing Click here for event summary (pdf)
Sponsors - BDO LLP & Microsoft

8th Mar 10	Private Wealth Management	London
Private Wealth Management
Chairman Stuart Campbell Associate Director Protiviti Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Market abuse • Offshore clients • RDR • ARROW visit feedback • TCF • Walker review • FSA Financial Outlook Click here for event summary (pdf)
Sponsors - Microsoft

4th Mar 10	Asset Management	London
Asset Management
Chairman Tony Bronk Director BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • RDR • Client money • Oversight of third parties • UCITS IV • Liquidity within funds Click here for event summary (pdf)

1st Mar 10	Complaints Handling	London
Complaints Handling
Chairman John Seaton Principal Consultant Huntswood Tower 42, 25 Old Broad Street EC2N 1HQ (map)	Discussion Topics • Root cause analysis • FSA thematic reviews • Transparency proposals • PPI • Other issues
Sponsors - CDC Respond & Huntswood

23rd Feb 10	Compliance - Scotland	Edinburgh
Compliance Group
Chairman Peter Downie Company Secretary Money Dashboard The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Effective corporate governance (CP10-03) • Publication of complaints data (PS10-01) • Treating Customers Fairly Click here for event summary (pdf)

16th Feb 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Combating insider fraud • Sanctions • Due diligence for PEPs • Bribery and corruption • SARS • Compliance monitoring: resourcing • Fraud trends Click here for event summary (pdf)
Sponsors - Grant Thornton

15th Feb 10	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Guest Contributor Anita Bradshaw Senior Consultant Logica Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Scenarios • Board engagement • Current regulatory climate • Risk appetite/tolerance • Business Continuity Planning • Remuneration • IT and spreadsheet risk • Capturing risk events Click here for event summary (pdf)
Sponsors - BDO LLP & Logica

8th Feb 10	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • RDR • ARROW visit feedback • Suitability • ICAAP • Client assets • Shah vs. HSBC case • Onshore banks with offshore clients • TCF • Other issues Click here for event summary (pdf)
Sponsors - Microsoft

27th Jan 10	Compliance - Scotland	Edinburgh
Compliance - Investment Focus
Chairman Fiona Raistrick Senior Manager, FS Regulatory Practice BDO LLP The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Information security • PPI: FSA policy statement • Approved persons requirements • ARROW visit feedback • FSA supervision • The Bribery Bill Click here for event summary (pdf)
Sponsors - BDO LLP

25th Jan 10	Complaints Handling	Edinburgh
Complaints Handling
Chairman John Seaton Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FSA transparency proposals • FSA thematic review • Root cause analysis • Bank charges • Complaints trends Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood

19th Jan 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Sanctions • The Bribery Bill • Fraud trends • Other issues Click here for event summary (pdf)
Sponsors - Grant Thornton

18th Jan 10	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Guest Contributor Anita Bradshaw Senior Consultant Logica Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Effectiveness of ERM frameworks • Information security • Embedding the ICAAP • Key risk indicators Click here for event summary (pdf)
Sponsors - BDO LLP & Logica

11th Jan 10	Private Wealth Management	London
Private Wealth Management
Chairman Elinor Murray Senior Manager, Risk Advisory Ernst & Young Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • RDR • ARROW feedback • Issues raised by members Click here for event summary (pdf)
Sponsors - Ernst & Young and Microsoft

7th Jan 10	Asset Management	London
Asset Management
Chairman Richard Walbach Director Clearconcepts Tower 42, 25 Old Broad Street (map)	Discussion Topics • Economic outlook • RDR / PRIPs • Monitoring best execution for OTC trades • ARROW feedback • Conflicts of interest • AIFM directive • FSA Thematic Review: Client Money • Issues raised by members Click here for event summary (pdf)

23rd Nov 09	Complaints Handling	London
Complaints Handling
Chairman Steve Southall Executive Director Ernst & Young Tower 42, 25 Old Broad Street (map)	Discussion Topics • FSA transparency proposals • FOS annual budget review • CMC update • PPI consultation paper • Complaints MI • Current complaints trends Click here for event summary (pdf)
Sponsors - CDC Respond

18th Nov 09	Compliance - Scotland	Edinburgh
Retail - Scotland
Chairman Jeremy Fraser Partner Brodies LLP The Balmoral Hotel, Princes Street (map)	Discussion Topics • FSA supervision • Transparency • BCOBS guidance • Lending Code • Turner Review • Mortgage Market Review • RDR • FSA policy statement on single customer view • BIS review of credit and store cards • Projection rates Click here for event summary (pdf)
Sponsors - Microsoft

17th Nov 09	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Tower 42, 25 Old Broad Street (map)	Discussion Topics • Preparation for the Bribery Bill • Fraud trends • Integration of financial crime management • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton & Microsoft

16th Nov 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Guest Contributor Anita Bradshaw Senior Consultant Logica Tower 42, 25 Old Broad Street (map)	Discussion Topics • Succession planning • Regulatory risk • Cultural issues --governance risk --ethics • Event reporting to prediction Click here for event summary (pdf)
Sponsors - BDO LLP & Logica

12th Nov 09	Complaints Handling	Manchester
Complaints Handling
Chairman Tim Buckingham Partner DLA Piper LLP Radisson Hotel, Peter Street (map)	Discussion Topics • Consumer Credit Directive • Consumer White Paper • PPI consultation paper • FOS League tables • CMC update • Current complaint trends • Issues raised by members
Sponsors - CDC Respond

9th Nov 09	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Tower 42, 25 Old Broad Street (map)	Discussion Topics • RDR • MiFID II • AIFM directive • UCITS IV • TCF • Walker Review • OTC derivatives • General Issues Click here for event summary (pdf)
Sponsors - Foster Denovo & Microsoft

2nd Nov 09	Asset Management	London
Asset Management - Retail
Chairman Elinor Murray Senior Manager, Risk Advisory Ernst & Young Tower 42, 25 Old Broad Street (map)	Discussion Topics • Retail Distribution Review • ARROW visit feedback • UCITS IV • Walker Review • Compliance policies and procedures Click here for event summary (pdf)

21st Oct 09	Compliance - Scotland	Edinburgh
Retail - Scotland
Chairman Allan McGrath Director PricewaterhouseCoopers Guest Contributor Jeremy Fraser Partner Brodies LLP The Balmoral Hotel, Princes Street (map)	Discussion Topics • PPI feedback • White labelling • Financial Services Compensation Scheme • Payment Services Directive • FSA guidelines Click here for event summary (pdf)

20th Oct 09	Financial Crime	London
Financial Crime
Chairman Mark Carter Partner Deloitte LLP Tower 42, 25 Old Broad Street (map)	Discussion Topics • Embedding fraud risk assessment monitoring • Data security --protecting employee data --outsourced IT facilities --IFAs and other third-parties • Risk of operating in other jurisdictions • Risk of social networking sites • Provision of banking services to US citizens • Issues raised by members Click here for event summary (pdf)
Sponsors - Deloitte

19th Oct 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Guest Contributor Anita Bradshaw Senior Consultant Logica Tower 42, 25 Old Broad Street (map)	Discussion Topics • Controls of critical spreadsheets • Root cause analysis - causal categories • Treatment of error profits • Scalability • Swine flu update for BCP Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Logica

12th Oct 09	Private Wealth Management	London
Private Wealth Management
Chairman Tim Rooke Partner Ernst & Young Guest Contributor Anthony Kirby Director Ernst & Young Tower 42, 25 Old Broad Street (map)	Discussion Topics • Remuneration • RDR --training --product panels --operational implications • UCITS IV • BCOBS & Payment Services Directive Click here for event summary (pdf)
Sponsors - Ernst & Young and Microsoft

28th Sep 09	Complaints Handling	London
Complaints Handling
Chairman Phil Byrne Partner Huntswood Tower 42, 25 Old Broad Street (map)	Discussion Topics • FOS league tables • FSA transparency proposals • Root cause analysis • FSA complaints project • CMCs Click here for event summary (pdf)
Sponsors - CDC Respond

22nd Sep 09	Financial Crime	London
Financial Crime
Chairman Simon Dwyer Director KPMG Tower 42, 25 Old Broad Street (map)	Discussion Topics • Corruption Bill • Current fraud typologies • SEPA payments • Data security -- customer communications • Monitoring identity theft • Issues raised by members Click here for event summary (pdf)

16th Sep 09	Compliance - Scotland	Edinburgh
Retail - Scotland
Chairman Jeremy Fraser Partner Brodies LLP Balmoral Hotel, Princes Street (map)	Discussion Topics • Retail Distribution Review • Complaints handling & FOS • Competition Commission draft • Payment Services Directive / BCOBs • Approved persons regime • Issues raised by members Click here for event summary (pdf)

14th Sep 09	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager, Financial Services Group Grant Thornton Tower 42, 25 Old Broad Street (map)	Discussion Topics • Retail Distribution Review • Advice to offshore clients • FSA supervision • Financial climate • Structured products Click here for event summary (pdf)
Sponsors - Microsoft

27th Jul 09	Complaints Handling	Manchester
Complaints Handling
Chairman Matt Malone Partner Huntswood Radisson Hotel, Peter Street (map)	Discussion Topics • Current complaints trends and industry update • FOS league tables • FOS responsibility • Quality assurance • Complaints culture • Root cause analysis: improving MI • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

20th Jul 09	Financial Crime	London
Financial Crime
Chairman Mark Tantam Partner, Forensic and Dispute Services Deloitte Tower 42, 25 Old Broad Street (map)	Discussion Topics • Sanctions best practice • Reviewing systems and services for screening and due diligence • Advances in fuzzy logic • Current fraud typologies • Customer communication: data security risks • Monitoring identity theft • Issues raised by members Click here for event summary (pdf)

20th Jul 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad Street (map)	Discussion Topics • Risk of risk management systems • Managing reputational risk • Business continuity • Records management • Impact of Twitter • Regulatory risk Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward & Logica

15th Jul 09	Compliance - Scotland	Edinburgh
Retail - Scotland
Chairman Catrin Thomas Partner PricewaterhouseCoopers Balmoral Hotel, Princes Street (map)	Discussion Topics • RDR: review of FSA consultation paper • Approved persons regime - FSA feedback • ARROW visit feedback • Risk and corporate governance • Issues raised by members Click here for event summary (pdf)

13th Jul 09	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager, Financial Services Group Grant Thornton Tower 42, 25 Old Broad Street (map)	Discussion Topics • RDR - Professional qualification requirements - Requirements for discretionary funds • Trail: justifying value of service/fees • Financial climate: 6 month outlook • New product ideas: impact on risk and intermediaries • Record keeping • Remuneration • Issues raised by members Click here for event summary (pdf)

22nd Jun 09	Complaints Handling	London
Complaints Handling: Best Practice
Chairman Phil Byrne Senior Consultant Huntswood Tower 42, 25 Old Broad Street (map)	Discussion Topics • Current complaints trends • Industry update • Best practice - Identifying areas for process and performance improvements - Reducing complaints volumes through root cause analysis - Lowering complaints handling timeframes - Improving complaints channels - Making a business case for change •Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

17th Jun 09	Compliance - Scotland	Edinburgh
Sales Process Development
Chairman Jeremy Fraser Partner Brodies Guest Contributor Peter Downie Company Secretary Money Dashboard Balmoral Hotel, Princes Street (map)	Discussion Topics • Sales promotions • Guided vs advised sales • Sales channel considerations - Direct - Indirect • Customer communications • Treating Customers Fairly • Post-sales strategies - Contact strategy - Complaints handling - MI - Escalation • Issues raised by members Click here for event summary (pdf)
Sponsors - Brodies LLP

15th Jun 09	Financial Crime	London
Financial Crime
Chairman Richard Indge Partner Ernst & Young Guest Contributor Jim Burns CTO Financial Services, UK Microsoft Tower 42, 25 Old Broad Street (map)	Discussion Topics • Corruption Bill; FCPA in the UK • Fraud risk in a downturn • Insider trading • Resourcing: quantifying risks • Outsourcing: reviewing third party payments • Reviewing systems and services for screening and due diligence • Issues raised by members Click here for event summary (pdf)
Sponsors - Microsoft

15th Jun 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad Street (map)	Discussion Topics • Executive reporting/board engagement - dashboards - creating value • Managing third-party risk - outsourcing and SLA issues - data issues - intellectual property • Embedding risk appetite/tolerance • Future risks Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Logica

8th Jun 09	Private Wealth Management	London
Private Wealth Management
Chairman Stuart Campbell Associate Director Protiviti Tower 42, 25 Old Broad Street (map)	Discussion Topics • Effectiveness of risk, compliance and internal audit - influence on the business - involvement in derivatives risk management - challenging management on controls and decisions - clarity and independence of reporting lines - assessment and monitoring - board reporting and involvement - feedback from ICAAP visits - allocating appropriate capital levels - articulating risk appetite • Complaints: experience in the current climate • Fraud: quantifying losses; near misses with hard to value assets • RDR: progress and risks • Issues raised by members Click here for event summary (pdf)

1st Jun 09	Asset Management	London
New Product Development
Chairman Scott Soper Senior Manager, Risk & Regulatory Grant Thornton Tower 42, 25 Old Broad Street (map)	Discussion Topics • Impact of proposed Alternative Investment Fund Directive • Key stakeholders: role of compliance • Current market considerations - hedge funds - quantitative easing - counterparty risk - SICAVs • UCITS - disclosure - marketing restrictions across jurisdictions • Risk appetite • Issues raised by members

26th May 09	Complaints Handling	Manchester
Complaints Handling: Best Practice
Chairman Matt Malone Partner Huntswood Radisson Hotel, Peter Street (map)	Discussion Topics • Identifying areas for process and performance improvements • Reducing complaints volumes through root cause analysis • Lowering complaints handling timeframes • Improving complaints channels • Making a business case for change • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

18th May 09	Financial Crime	London
Financial Crime
Chairman Andrew Clark Partner PricewaterhouseCoopers Guest Contributor Peter Burrell Partner Herbert Smith James Burns CTO Financial Services UK Microsoft Tower 42, 25 Old Broad Street (map)	Discussion Topics • FSA paper on sanctions • Safe Custody Review • Automated v. manual monitoring • Bearer shares • Impact of Patriot Act: information requested by correspondent banks in the US • Dawn raids: cold calling • Issues raised by members Click here for event summary (pdf)
Sponsors - Microsoft

18th May 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward BDO Stoy Hayward, 55 Baker Street, W1	Discussion Topics • Scenario analysis/stress testing • Risk & controls - self assessment • Liquidity standards • External loss databases • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward & Logica

11th May 09	Private Wealth Management	London
Private Wealth Management
Chairman Stuart Campbell Associate Director Protiviti Tower 42, 25 Old Broad Street (map)	Discussion Topics • The ICAAP process - Feedback from FSA visits - Sharing risk registers - Allocating appropriate capital levels - Challenging management on controls - The ‘use test’ - Articulating risk appetite • Income accounts: lack of confidence in credit markets • Client reports: forecasting • RDR: update • Issues raised by members

27th Apr 09	Complaints Handling	London
Complaints Handling
Chairman Matt Malone Head of Transformation Huntswood Tower 42, 25 Old Broad Street (map)	Discussion Topics • Complaints League Tables • Current complaint volumes and trends • Consumer Responsibility: FSA DP08-05 • Unenforceable loan agreements • Risk-based repricing • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

22nd Apr 09	Compliance - Scotland	Edinburgh
Retail - Scotland
Chairman Jeremy Fraser Partner Brodies LLP Balmoral Hotel, Princes Street (map)	Discussion Topics • Turner Review • BCOBS • Payment Services Directive • FSA enforcement • Consumer Credit Directive • Financial Promotions issues • Retail Distribution Review update • Issues raised by members Click here for event summary (pdf)
Sponsors - Brodies LLP

20th Apr 09	Financial Crime	London
Financial Crime
Chairman Karen Briggs Partner, Head of Financial Services Forensic KPMG Guest Contributor Jim Burns CTO Financial Services, UK Microsoft Tower 42, 25 Old Broad Street (map)	Discussion Topics • Dawn raids; cold calling • Impact of Patriot Act: information requested by correspondent banks in the US • Automated v. manual monitoring • Quantifying the extent of fraud risk • Common fraud profiles in the current climate • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG and Microsoft

20th Apr 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad Street (map)	Discussion Topics • Managing risks of overseas branches • Corporate governance • Solvency 2 • Spreadsheet risks • SREP • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward

6th Apr 09	Asset Management	London
Third Parties: Relationships and Controls
Chairman Dominic Hill Partner Lovells Tower 42, 25 Old Broad Street (map)	Discussion Topics • Managing counterparty risk • Independent valuations/monitoring performance • Due diligence processes • Monitoring fraud • Data protection and data security issues • Dealing with non-regulated third parties • Issues raised by members Click here for event summary (pdf)

23rd Mar 09	Complaints Handling	Manchester
Complaints Handling
Chairman Matt Malone Head of Transformation Huntswood Radisson Hotel, Peter Street (map)	Discussion Topics • Complaints League Tables • Consumer Responsibility: FSA DP08-05 • Unenforceable loan agreements • Current complaint volumes and uphold rates • Current processes for refunding credit card fees • Risk-based repricing • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

18th Mar 09	Compliance - Scotland	Edinburgh
Compliance: Current Issues
Chairman Peter Downie Company Secretary Money Dashboard Guest Contributor Lindsay Lee Solicitor Brodies LLP Balmoral Hotel, Princes Street (map)	Discussion Topics • Turner Review • Retail Distribution Review • Treating Customers Fairly • PPI • Payment Services Directive • Issues raised by members Click here for event summary (pdf)

16th Mar 09	Financial Crime	London
Financial Crime
Chairman Karen Briggs Partner, Head of Financial Services Forensic KPMG Guest Contributor Jim Burns CTO Financial Services UK Microsoft Tower 42, Old Broad Street, EC2 (map)	Discussion Topics • FSA recommendations from the Financial Risk Outlook paper - Managing increased fraud risk in the current environment - Monitoring shifting trends - Procedures for handling market rumours • ARROW visits: what to expect • Whistleblowing lines • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG and Microsoft

16th Mar 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad Street, EC2 (map)	Discussion Topics • Stress testing • Liquidity standards • Reputational risk • Information risks: benchmarking against FSA standards • Capital adequacy vs. individual risks • Managing risks of overseas branches • SREP • Risks in the current climate Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward

9th Mar 09	Private Wealth Management	London
Private Wealth Management
Chairman Rob Nieves Director, Business Risk Protiviti Tower 42, 25 Old Broad Street (map)	Discussion Topics • Liquidity standards • Stress testing • TCF: Progress report • Counterparty risk • Current fraud trends and risks • Hedge funds update • Industry update: market conditions • Issues raised by members Click here for event summary (pdf)

2nd Mar 09	Asset Management	London
Derivatives Risk Management
Chairman Jonathan Herbst Partner Norton Rose Tower 42, 25 Old Broad Street (map)	Discussion Topics • Performance management • Data control, accurate asset valuations • Risk disclosure • Risk assessment • Risk controls and monitoring • Training and competence • Reducing counterparty risk • Issues raised by members Click here for event summary (pdf)

23rd Feb 09	Compliance - Scotland	Edinburgh
Communications in a Difficult Climate
Chairman Jeremy Fraser Partner Brodies Balmoral Hotel, Princes Street (map)	Discussion Topics Keeping Customers Informed • Avoiding confusion vs scaremongering • PPI Marketing and Communicating Product Information • Current examples • Keeping information up-to-date • Total premium issue • Risk warnings: tailoring to climate Changes to Products/Terms & Conditions • Current examples • Distance marketing regulations • Illustrations on contracting out Customer Communications • Query handling • Valuations • Complaints: managing peaks and troughs • Lending policies (SMEs) • Arrears handling • Media impact TCF • Transparency • General update Internal Communications • Staff morale • Managing market conditions • Managing media impact RDR: General Update Click here for event summary (pdf)

23rd Feb 09	Complaints Handling	London
Complaints Handling
Chairman Kate Davies Senior Manager Mazars Guest Contributor Dr Sharon Gilad Research Officer, Centre for Analysis of Risk and Regulation London School of Economics Tower 42, 25 Old Broad Street (map)	Discussion Topics • Bank charges test case: implications and preparations • PPI: impact of Competition Commission ruling • Complaints league tables: implications and preparations • Current complaint trends - Risk-based pricing - Unenforceable loan agreements • FOS: current issues and response to corporate plan 2009/2010 • Outlook for complaints in 2009 • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

16th Feb 09	Financial Crime	London
Financial Crime
Chairman David Hicks Partner, Financial Services KPMG Guest Contributor Jim Burns CTO Financial Services UK Microsoft Tower 42, Old Broad Street, EC2 (map)	Discussion Topics • Third party distributors: due diligence, monitoring, distribution agreements • Inducements • TCF • Section 166 Skilled Persons Reports: enforcement or supervision? • Outsourcing KYC • Reporting structures: AML, fraud, crime, security • Staff vetting • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG and Microsoft

16th Feb 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad Street EC2 (map)	Discussion Topics SREP • Embedding capital adequacy into systems: self-assessment • ICAAP: bottom-up risks Operational Risk: Current Climate • Embedding into systems • Different methodologies • Risk of cutbacks and business enhancements Systems For Managing Risk • Embedding controls • Options for running risk teams • Measuring risk: management committees Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward

9th Feb 09	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager, Risk & Regulatory Grant Thornton Tower 42, 25 Old Broad Street (map)	Discussion Topics • Impact of recent events on: - Due diligence processes for counterparties - Range of instruments used within client portfolios - Evidencing appropriate performance and portfolio construction for clients - Trade volumes with in house or tied brokers - Valuations of unquoted securities • Managing the impact of hedge funds on clients • Monitoring client positions and counterparty exposure in periods of intense trading activity and extreme market volatility • Client identification by dealing desk • Issues raised by members Click here for event summary (pdf)

28th Jan 09	Compliance - Scotland	Edinburgh
Retail Distribution Review
Chairman Stephen Kelly Risk and Capital Management Practice Leader Grant Thornton Balmoral Hotel, Princes St (map)	Discussion Topics • FSA Feedback Statement: update and impact • New advisory models: clarity or confusion? • Remuneration post-RDR • IFAs: managing relationships, training and contracts • TCF: client communications and expectations • Transition: timeframes and progress • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton

26th Jan 09	Complaints Handling	Manchester
Complaints Handling
Chairman Roger McCourt Partner, Financial Litigation DLA Piper Radisson Hotel, Peter Street (map)	Discussion Topics • Bank Charges Test Case: What preparatory work, if any, is currently undergoing in the event that banks lose the appeal to the test case? • PPI and the likely impact of the Competition Commission ruling • Arrears and repossessions: setting policy and verifying financial hardship • Complaints league tables: implications and preparations; sharing current reporting practices for benchmarking purposes • Current FOS issues • Outlook for complaints in 2009 • Issues raised by members Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

19th Jan 09	Financial Crime	London
Financial Crime
Chairman Karen Briggs Partner, Head of Financial Services, Forensic KPMG Guest Contributor Jim Burns CTO Financial Services UK Microsoft Tower 42, Old Broad Street, EC2 (map)	Discussion Topics • New fraud techniques; industry trends • New customer vetting: comparing different approaches across the industry • Risk weighting methods • Software for KYC • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG and Microsoft

19th Jan 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad Street (map)	Discussion Topics • SREP • Merging risk and compliance teams • Usefulness of economic capital and alternatives • Hedge funds - short selling restrictions • Risks of dealing with regulators • General points
Sponsors - BDO Stoy Hayward

12th Jan 09	Private Wealth Management	London
Retail Distribution Review
Chairman Julian Bartlett Partner Grant Thornton Tower 42, 25 Old Broad Street (map)	Discussion Topics • Retail Distribution Review - Remuneration - Advice - Professional Standards - Industry opinion • TCF • Fair values on unquoted securities • Industry outlook for 2009 • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton

5th Jan 09	Asset Management	London
Retail Distribution Review
Chairman Ashley Carter Chief Executive, Regulatory Outsourcing Grant Thornton Guest Contributor Andy Maysey Senior Advisor, Retail Distribution Investment Management Association Tower 42, 25 Old Broad Street (map)	Discussion Topics • FSA Feedback Statement: update and impact • New advisory models: clarity or confusion? • Remuneration post-RDR • IFAs: managing relationships, training and contracts • TCF: client communications and expectations • Transition: timeframes and progress • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton

24th Nov 08	Financial Promotions	Edinburgh
Financial Promotions
Chairman Jeremy Fraser Partner Brodies Balmoral Hotel, Princes St (map)	Discussion Topics • Impact of new ICOB rules • The Payment Services Directive • Treating Customers Fairly • Impact of economic downturn • Issues raised by members

24th Nov 08	Complaints Handling	London
Complaints Handling
Chairman Paul Willis Principal Consultant Huntswood Tower 42, 25 Old Broad Street (map)	Discussion Topics • Competition Commission: Bank Charges Test Case • FSA Transparency Proposals: Preparation for League Tables • Centralisation: Advantages and Disadvantages • Fees: Sharing Policies and Approaches • Complaints Champions • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

19th Nov 08	Compliance - Scotland	Edinburgh
Principles-Based Regulation
Chairman Andrew Shiels Principal Consultant KPMG Balmoral Hotel, Princes St (map)	Discussion Topics • A principles-based approach at a group/international level • Turning principles into rules; internal standards • Evidencing to the FSA • Senior management buy-in • Education and training • Impact of 'credit crunch' • Issues raised by members Click here for event summary (pdf)

17th Nov 08	Financial Crime	London
Financial Crime
Chairman Karen Briggs Partner Head of Financial Services, Forensic KPMG Guest Contributor James Burns CTO Financial Services, UK Microsoft Tower 42, 25 Old Broad Street, EC2 (map)	Discussion Topics • Relationships between SOCA and the police • Business training: CBT, tools and approaches • Fraud measurement: losses and near misses • Data security -- Results from gap analyses -- Responses to the FSA -- New ICO powers • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG and Microsoft

17th Nov 08	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad St (map)	Discussion Topics • Business continuity and disaster recovery programmes • Stress testing • Risk/reward/compensation • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle

10th Nov 08	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager, Risk and Regulatory Grant Thornton Tower 42, 25 Old Broad St (map)	Discussion Topics • Market conditions • Conflicts of interest and inducements • Best execution • Verification of third party fund factsheets • RDR • Implementing principles-based regulation • TCF: preparing for ARROW visits • Issues raised by members Click here for event summary (pdf)

3rd Nov 08	Asset Management	London
Market Abuse
Chairman Rob Nieves Director, Business Risk Protiviti Tower 42, 25 Old Broad St (map)	Discussion Topics • Suspicious Transaction Reports • Chinese walls – national and international issues. • Internal monitoring – risk-based approach • Effect of a whistleblower system • Rumours and misleading information – can it be stopped? • Corporate governance • Evidencing to the regulator • Issues raised by members Click here for event summary (pdf)

28th Oct 08	Financial Promotions	London
Financial Promotions
Chairman Paul Jennings Senior Manager, Regulatory Ernst & Young The City Club, 19 Old Broad St (map)	Discussion Topics TCF • Embedding • Demonstrating • Changing promotions Impact of Economic Downturn • Messaging in a crisis • Resource cutbacks Issues raised by members Click here for event summary (pdf)

27th Oct 08	Complaints Handling	Manchester
Complaints Handling
Chairman Rod Hepple-Wilson Director, Regulatory Advisory Mazars The Radisson Hotel, Peter Street (map)	Discussion Topics • PPI: Wider Implications Review • FSA Transparency Proposals: Update • Post-ARROW visits: Feedback • Root Cause Analysis: Evidencing the Product Lifecycle • Complaint Champions • Measuring productivity: Variants; Modelling • Centralisation: Advantages and Disadvantages • Cost of Handling Escalated Complaints • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

22nd Oct 08	Compliance - Scotland	Edinburgh
TCF: Meeting the Deadline
Chairman Paul Jennings Senior Manager, Regulatory Ernst & Young Balmoral Hotel, Princes St (map)	Discussion Topics • Progress on embedding • Evidencing • Cultural change: challenges • Meeting the deadline • Feedback from FSA visits • Issues raised by members Click here for event summary (pdf)

20th Oct 08	Financial Crime	London
Financial Crime
Chairman Karen Briggs Partner Head of Financial Services, Forensic KPMG Guest Contributor Jennifer Hammond Director KPMG Tower 42, 25 Old Broad Street, EC2 (map)	Discussion Topics • FCPA • Cross-sector co-operation - Assurance: compliance monitoring; role of internal audit - Measurement: defining losses/near misses - Fraud scams - typology • Sanctions - FSA paper - EU sanctions • Ethics: policy and training • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG and Microsoft

20th Oct 08	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad St (map)	Discussion Topics • Business Continuity and Disaster Recovery programmes • Risk: appetite, tolerance, capacity - Assessment processes & authority levels - Sharing processes and ideas - Putting the use test into practice • Use of non-risk data - Behavioural data and trends • Involvement of operational risk in M&A activity • Retrospective legislation, FOS decisions on pre 2005 cases • Reputational risk - measuring non-financial impacts, downtime • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle

13th Oct 08	Private Wealth Management	London
Private Wealth Management
Chairman Ian Woodhouse Director, Investment Management and Private Banking Ernst & Young Tower 42, 25 Old Broad St (map)	Discussion Topics • Feedback on FSA visits • TCF progress • Rebates and retrocessions post-MiFID • Collective Investment Schemes • Market conditions and customer confidence • Issues raised by members Click here for event summary (pdf)

13th Oct 08	Retail - North	Manchester
TCF: Meeting the Deadline
Chairman Anya O'Reilly Senior Manager, Financial Services Assurance PricewaterhouseCoopers Radisson, Peter St (map)	Discussion Topics • Progress on embedding • Evidencing • Cultural change: challenges • Meeting the deadline • Feedback from FSA visits • Issues raised by members Click here for event summary (pdf)

6th Oct 08	Asset Management	London
UCITS III
Chairman Rob Nieves Director, Business Risk Protiviti Tower 42, 25 Old Broad St (map)	Discussion Topics • UCITS III and the MiFID regime • Implementation across Europe • Product performance • Revisions to the Simplified Prospectus • UCITS IV – potential changes • Issues raised by members Click here for event summary (pdf)

1st Oct 08	Ireland	Dublin
Root Cause Analysis and MI
Chairman Colm McDonnell Partner, Enterprise Risk Services Deloitte & Touche Clarence Hotel, Wellington Quay (map)	Discussion Topics • Benchmarking study: results summary • Capturing complaints and feedback data • Service levels and staff incentives • Root cause analysis processes • MI: demonstrating progress and value • Managing complaints volumes • Driving cultural change Click here for event summary (pdf)
Sponsors - CDC Respond

22nd Sep 08	Financial Promotions	Edinburgh
Financial Promotions
Chairman Jeremy Fraser Partner Brodies Balmoral Hotel, Princes St (map)	Discussion Topics • Retail Distribution Review • Treating Customers Fairly • FSA ARROW visit feedback • Dual branding and third-party distributor documentation • Own initiative variation of permissions • Other issues raised by delegates Click here for event summary (pdf)

22nd Sep 08	Complaints Handling	London
Complaints Handling
Chairman Jenny Clayton Director Ernst & Young Tower 42, 25 Old Broad Street (map)	Discussion Topics • TCF MI: feedback from benchmarking exercise • Responses to FSA paper on transparency • Issues raised by members Click here for event summary (pdf)
Sponsors - Ernst & Young and CDC Respond

15th Sep 08	Operational Risk	London
Operational Risk
Chairman Nick Lane Financial Services Manager Risk and Advisory Services BDO Stoy Hayward Tower 42, 25 Old Broad St (map)	Discussion Topics • Operational risk hedging • Short selling • Valuation of illiquid instruments • Integrated risk and finance • Operational risk and process engineering • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle

15th Sep 08	Compliance - Scotland	Edinburgh
Data Security: Assessing Risks
Chairman Richard Neave Director PricewaterhouseCoopers Balmoral Hotel, Princes St (map)	Discussion Topics • Managing internal systems and controls • Staff policies procedures • Culture • Corporate governance • Managing third party data risk • Due diligence • Identity theft • Customer experience, creating a balance • Issues raised by members Click here for event summary (pdf)

8th Sep 08	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager, Risk and Regulatory Grant Thornton Tower 42, 25 Old Broad St (map)	Discussion Topics • Market conditions and customer confidence • TCF • Structured products • Disclosure and Transparency Regime: monitoring • Issues raised by members Click here for event summary (pdf)

8th Sep 08	Retail - North	Leeds
Data Security: Assessing Risks
Chairman Sian Herbert Partner PricewaterhouseCoopers Radisson, Number 1, The Light (map)	Discussion Topics • Managing internal systems and controls • Staff policies procedures • Culture • Corporate governance • Managing third party data risk • Due diligence • Identity theft • Customer experience, creating a balance • Issues raised by members Click here for event summary (pdf)

28th Jul 08	Financial Promotions	London
Financial Promotions
Chairman Peter Snowdon Partner Norton Rose Tower 42, 25 Old Broad St (map)	Discussion Topics • Retail Distribution Review: impact on promotions • Impact of ICOB and principles-based regulation • TCF deadlines • Dual branding and third party distributor documentation • Own-initiative variation of permission • Open Market Option disclosure • Issues raised by members Click here for event summary (pdf)

28th Jul 08	Complaints Handling	Manchester
Complaints Handling
Chairman Cathryn Rees Senior Consultant Huntswood The Radisson Hotel, Peter Street (map)	Discussion Topics • TCF MI • Industry trends • Quality checking and monitoring • Customer communication methods • Reducing complaint volumes • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

21st Jul 08	Financial Crime	London
Financial Crime
Chairman Karen Briggs Partner Head of Financial Services, Forensic KPMG Tower 42, 25 Old Broad St (map)	Discussion Topics • Cross-sector co-operation • Insider fraud • Risk managent • Sanctions • Other issues Click here for event summary (pdf)
Sponsors - KPMG

21st Jul 08	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad St (map)	Discussion Topics • Outsourcing • Technology risk • Solvency II • Profits from operational errors • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward & Oracle

21st Jul 08	Compliance - Scotland	Edinburgh
TCF: Embedding
Chairman Chris Terry Director Deloitte Balmoral Hotel, Princes St (map)	Discussion Topics • Meeting the December deadline • Senior management responsibilities • Effecting a cultural change • Evidencing the six outcomes • TCF and regulatory enforcement • Generating and evidencing MI • Issues raised by members Click here for event summary (pdf)
Sponsors - Deloitte

14th Jul 08	Private Wealth Management	London
Private Wealth Management
Chairman Anthony Kirby Director Ernst & Young Tower 42, 25 Old Broad St (map)	Discussion Topics • Industry trends • TCF update • MI • Data security • Internal fraud • Hold mail accounts • Issues raised by members Click here for event summary (pdf)

14th Jul 08	Retail - North	Manchester
TCF: Embedding
Chairman Rob Hayes Consultant Provience Radisson Hotel, Peter St (map)	Discussion Topics • Meeting the December deadline • Senior management responsibilities • Effecting a cultural change • Evidencing the six outcomes • TCF and regulatory enforcement • Generating and evidencing MI • Issues raised by members Click here for event summary (pdf)

7th Jul 08	Asset Management	London
TCF: Embedding
Chairman Dominic Hill Partner Lovells Guest Contributor Andy Maysey Senior Adviser, Retail Distribution Investment Management Association Tower 42, 25 Old Broad St (map)	Discussion Topics • Meeting the December deadline • Senior management responsibilities • Effecting a cultural change • Evidencing the six outcomes • TCF and regulatory enforcement • Generating and evidencing MI • Issues raised by members Click here for event summary (pdf)

23rd Jun 08	Complaints Handling	London
Complaints Handling
Chairman Eric Leenders Executive Director British Bankers Association Tower 42, 25 Old Broad St (map)	Discussion Topics • Measuring customer satisfaction • Information security • Reportable complaints • PPI thematic review • TCF update; FSA feedback • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

23rd Jun 08	Financial Promotions	Edinburgh
Financial Promotions
Chairman Jeremy Fraser Partner Brodies Balmoral Hotel, Princes St (map)	Discussion Topics • Past Performance; brand advertising • UCITS • MCOB • Legislation; Unfair Commercial Practice Directive • Promotion of structured products • Issues raised by members Click here for event summary (pdf)

16th Jun 08	Compliance - Scotland	Edinburgh
MI: Mission Impossible?
Chairman Tim Kirk Managing Director The Kirk Consultancy Guest Contributor Jim Burns CTO Financial Services UK Microsoft Balmoral Hotel, Princes St (map)	Discussion Topics • Collecting the right information • Data analysis • Instigating and evidencing change • Ownership • TCF and corporate culture • Issues raised by members Click here for event summary (pdf)
Sponsors - Microsoft

16th Jun 08	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad St (map)	Discussion Topics • Financial crime governance • Change management • Forward-looking risk management • Incentives and risk • Educating the board • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle

16th Jun 08	Financial Crime	London
Financial Crime
Chairman Brian Dilley Head of EMEA AML Services KPMG Tower 42, 25 Old Broad St (map)	Discussion Topics • Financial crime risk management: approach and implementation • Data Leakage: security controls and facilitating fraud • Financial Crime: cross-organisational and cross-border coordination • Developments in financial and economic sanctions • Bribery and Corruption • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG

9th Jun 08	Retail - North	Leeds
MI: Mission Impossible?
Chairman Andrew Howgego Senior Manager KPMG Radisson Hotel, No 1, The Light (map)	Discussion Topics • Collecting the right information • Data analysis • Instigating and evidencing change • Ownership • TCF and corporate culture • Issues raised by members Click here for event summary (pdf)

2nd Jun 08	Asset Management	London
MI: Mission Impossible?
Chairman Andrew Wheeler Principal Consultant Huntswood Tower 42, 25 Old Broad St (map)	Discussion Topics • Collecting the right information • Data analysis • Instigating and evidencing change • Ownership • TCF and corporate culture • Issues raised by members Click here for event summary (pdf)

27th May 08	Complaints Handling	Manchester
Complaints Handling
Chairman Naomi King Clearconcepts Radisson Hotel, Peter St	Discussion Topics • FOS Jurisdiction • The Hunt Review • Information Security • Root Cause Analysis Progress • Feedback from FSA visits • TCF Update • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

27th May 08	Financial Promotions	London
Financial Promotions
Chairman Dominic Hill Partner Lovells Tower 42, 25 Old Broad St	Discussion Topics • Past Performance; brand advertising • UCITS • MCOB • Legislation; Unfair Commercial Practice Directive • Promotion of structured products • Issues raised by members Click here for event summary (pdf)

19th May 08	Compliance - Scotland	Edinburgh
Financial Crime
Chairman David Buchanan-Cook Manager, Forensic Financial Services KPMG Guest Contributor Jim Burns CTO Financial Services Microsoft UK Balmoral Hotel, Princes St	Discussion Topics Identity Theft • Phishing • Related fraud • Protection in products Data Security • Validation; telephone verification • Regulatory approach Customer Feedback • Security vs. experience Credit Crunch Mortgage Fraud Internal Crime SOCA reporting Issues raised by members Click here for event summary (pdf)
Sponsors - Microsoft

19th May 08	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad St	Discussion Topics • Enterprise risk management • Risk and control self-assessment • External event analysis • Impact of Treating Customers Fairly • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle

19th May 08	Financial Crime	London
Financial Crime
Chairman David Hicks Partner, Forensic KPMG LLP Tower 42, 25 Old Broad St	Discussion Topics • FCPA: global approach to bribery and corruption • Anti-corruption - reinventing KYC • Sanctions • Data security risks • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG

12th May 08	Retail - North	Manchester
Financial Crime
Chairman Brian Marks Senior Manager, Forensic Financial Services KPMG Radisson Hotel, Peter St (map)	Discussion Topics Identity Theft • Phishing • Related fraud • Protection in products Data Security • Validation; telephone verification • Regulatory approach Customer Feedback • Security vs. experience Credit Crunch Mortgage Fraud Internal Crime SOCA reporting Issues raised by members Click here for event summary (pdf)

12th May 08	Private Wealth Management	London
Private Wealth Management
Chairman John Liver Partner Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • TCF implementation experiences • MI in the business • Current industry trends • Governance and SYSC rules • Fraud • Anti-money laundering • Working with intermediaries • Issues raised by members Click here for event summary (pdf)

6th May 08	Asset Management	London
MiFID: Embedding and Training
Chairman Rob Nieves Director, Business Risk Protiviti Tower 42, 25 Old Broad St	Discussion Topics • MiFID update: exemptions for non-MiFID business • Best execution • Outsourcing • Inducements • Conflicts of interest • Client categorisation • Europe- ongoing implementation issues • Issues raised by members Click here for event summary (pdf)

28th Apr 08	Complaints Handling	London
Complaints Handling
Chairman Rod Hepple-Wilson Director Mazars Tower 42, 25 Old Broad St	Discussion Topics • Implications of bank charges ruling • Complaints volumes • Triage processes: best practice • TCF update • FSA enforcement • Qualitative complaints MI • Issues raised by members Click here for event summary (pdf)
Sponsors - Mazars & CDC Respond

28th Apr 08	Financial Promotions	Edinburgh
Financial Promotions
Chairman Jeremy Fraser Partner Brodies Balmoral Hotel, Princes St	Discussion Topics • TCF update • Web-based promotions • Complex charging structures • Outsourcing • Key Facts Documents • Legacy products • Electronic provision of product literature • Issues raised by members Click here for event summary (pdf)

21st Apr 08	Compliance - Scotland	Edinburgh
PPI: Managing the Impact
Chairman Sarah Willison Consultant Balmoral Hotel, Princes St	Discussion Topics • Product design • Pricing • Market entry; distribution • Remuneration • Sales process; advice • FOS; managing responses • Appetite for change • Repayment programmes • Risk management • Issues raised by members Click here for event summary (pdf)

21st Apr 08	Operational Risk	London
Operational Risk
Chairman Thomas Wenzel UK Head of Risk Management BearingPoint Tower 42, 25 Old Broad St	Discussion Topics • Firms’ top 5 KRIs • Ownership of the ICAAP process • New products process • Governance • COSO / COBIT: outstanding audit issues • Issues raised by members Click here for event summary (pdf)
Sponsors - BearingPoint & Oracle

21st Apr 08	Financial Crime	London
Financial Crime
Chairman Brian Dilley EMEA Head of AML Services KPMG Tower 42, 25 Old Broad St	Discussion Topics Financial Crime Systems and Controls/Risk Management • Shaping an approach to financial crime • Strategies and policies • Governance: an approach to financial crime and control framework • Joined-up financial control approach: fraud; money laundering; market abuse; FCPA (Bribery and Corruption) • Financial crime risk assessment • Industry benchmarking Impact of Organised Crime • Internal threats • External threats • Recent industry examples Identity Theft • KYC, KYE • Data mining • Profiling IT Security • Consolidation of IT fraud risk • Integration into overall crime approach • Recent cases • Regulatory approach Trading Fraud • Recent examples; soft and hard issues • Controls Click here for event summary (pdf)
Sponsors - KPMG

14th Apr 08	Retail - North	Leeds
PPI: Managing the Impact
Chairman Andrew James Principal Consultant PricewaterhouseCoopers Radisson Hotel, No 1, The Light	Discussion Topics • Product design • Pricing • Market entry; distribution • Remuneration • Sales process; advice • FOS; managing responses • Appetite for change • Repayment programmes • Risk management • Issues raised by members Click here for event summary (pdf)

14th Apr 08	Asset Management - MiFID	London
Asset Management - MiFID
Chairman Naomi King Clearconcepts The City Club, 19 Old Broad St	Discussion Topics MiFID • Evidencing to the regulator • Record keeping, telephone recording TCF and Principles-Based Regulation • MI • Recording decision-making processes • Product review and disclosure • Ongoing monitoring/ risk-based approach UCITS/Eligible Assets Directive Issues raised by members Click here for event summary (pdf)

14th Apr 08	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Angela Teke Director of Compliance UBS The City Club, 19 Old Broad St	Discussion Topics • Post deadline implementation experiences • Impact of MiFID on the business • TCF and MiFID • Client Consent • MiFID upcoming issues for 2008 • Current market turmoil: impact on MiFID • Issues raised by members Click here for event summary (pdf)

14th Apr 08	Private Wealth Management	London
Private Wealth Management
Chairman Patrick Storey Partner Grant Thornton Guest Contributor Emma Noble Senior Solicitor Brodies Tower 42, 25 Old Broad St	Discussion Topics • Treating Customers Fairly • MI • Retail Distribution Review • Platforms: FSA update; principles-based regulation • Wealth management: current trends • Market volatility • MiFID: suitability / appropriateness • MiFID: transaction reporting • Issues raised by members Click here for event summary (pdf)

7th Apr 08	Asset Management	London
UCITS 3
Chairman Julian Bartlett Partner Grant Thornton Tower 42, 25 Old Broad St	Discussion Topics • Product development - Disclosure - Monitoring - Performance • New instrument development process • Risk appetite • Recording the decision-making process • Risk management systems • Issues raised by members Click here for event summary (pdf)

25th Mar 08	Complaints Handling	Manchester
Complaints Handling
Chairman Elliot Dunseath Manager, Regulatory Practice Ernst & Young Radisson Hotel, Peter St	Discussion Topics • TCF: meeting the deadline • Charging redress payments back to the business • Targeting complaints handlers • Discrimination complaints • The FOS focus on PPI • Qualitative complaints MI • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

25th Mar 08	Financial Promotions	London
Financial Promotions
Chairman Patrick Brandt Partner, Financial Services Dundas & Wilson Tower 42, 25 Old Broad St	Discussion Topics • TCF update • Web-based promotions • Complex charging structures • Outsourcing • Key Facts Documents • Legacy products • Electronic provision of product literature • Issues raised by members Click here for event summary (pdf)

17th Mar 08	Compliance - Scotland	Edinburgh
Working with Principles
Chairman Serena Joseph Partner Mazars Balmoral Hotel, Princes St	Discussion Topics • Monitoring and auditing • The changing role of compliance • Remuneration • Changing culture: outcomes & opportunities • Internal standards: consistency across the business • Evidencing to the FSA • Senior management buy-in • Education and training • Issues raised by members Click here for event summary (pdf)
Sponsors - Mazars

17th Mar 08	Operational Risk	London
Operational Risk
Chairman Stephen Kelly Senior Manager, Financial Services Group Grant Thornton Tower 42, 25 Old Broad St	Discussion Topics • Horizon risks; futureologists • KRI's; reactive dashboards • Risk appetite • ICAAPs; learnings and approaches • Risk alignment; creating a level playing field • Working with principles-based regulation • Widening the operational risk community • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton & Oracle

10th Mar 08	Retail - North	Manchester
Working with Principles
Chairman Richard Adnett Director PricewaterhouseCoopers Radisson Hotel, Peter St	Discussion Topics • Monitoring and auditing • The changing role of compliance • Remuneration • Changing culture: outcomes & opportunities • Internal standards: consistency across the business • Evidencing to the FSA • Senior management buy-in • Education and training • Issues raised by members Click here for event summary (pdf)
Sponsors - PricewaterhouseCoopers

10th Mar 08	Asset Management - MiFID	London
Asset Management - MiFID
Tower 42, 25 Old Broad St	Discussion Topics MiFID • MI • Outsourcing (non EEA) • CSAs/Cost of research TCF • Provider distributor relationships • Due diligence • Monitoring sales and consistency • MI FSA • Visits and enforcement Issues raised by members Click here for event summary (pdf)
Sponsors - Microsoft

10th Mar 08	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Simon Crown Senior Associate Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics MiFID • Transaction Reporting • Best execution for non-listed instruments • Disclosures/inducements • Embedding • MI • FSA enforcement TCF • MI • Embedding • Financial Promotions Issues raised by members Click here for event summary (pdf)

3rd Mar 08	Asset Management	London
Working with Principles
Chairman Colleen Patterson Management Consultant Huntswood Tower 42, 25 Old Broad St	Discussion Topics • Monitoring and auditing • The changing role of compliance • Remuneration • Changing culture: outcomes & opportunities • Internal standards: consistency across the business • Evidencing to the FSA • Senior management buy-in • Education and training • Issues raised by members Click here for event summary (pdf)

28th Feb 08	General Interest	London
Customer Communications Workshop
Chairman Rob Hayes Hayes Associates Tower 42, 25 Old Broad St	Discussion Topics • Customer Segmentation • The Customer Journey • Brand Values: Internal and External Communications • Financial Promotions: Sales & Marketing vs. Compliance • Working with 3rd Parties • Treating Customers Fairly Click here for event summary (pdf)

25th Feb 08	Complaints Handling	London
Complaints Handling
Chairman Jenny Clayton & Elliot Dunseath Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics •PPI/Default fees - Managing and predicting peaks in complaints •SLAs - Setting and meeting achievable service levels •Staff culture - Controlling staff responsibility and providing training •MI - Tracking patterns of complaints; monitoring multiple complaints •Principles-based regulation - Utilising flexibility in the new approach but maintaining service levels •Outsourcing - Finding resource and expertise; improving effectiveness • Issues raised by members Click here for event summary (pdf)
Sponsors - Ernst & Young & CDC Respond

25th Feb 08	Financial Promotions	Edinburgh
Financial Promotions
Chairman Aidan Campbell Senior Associate Dundas & Wilson Balmoral Hotel, Princes St	Discussion Topics • Tailoring promotions • Risk warnings • Capturing feedback • Evidencing to the FSA • TCF and working within principles-based regulations • Issues raised by members Click here for event summary (pdf)

18th Feb 08	Compliance - Scotland	Edinburgh
Working with Third Parties
Chairman Brendan Bryce Director, Risk Assurance Services PricewaterhouseCoopers Guest Contributor Emma Noble Senior Solicitor Brodies Balmoral Hotel, Princes St	Discussion Topics • Imposing/regulating TCF standards • Due diligence • Monitoring sales and consistency • Outsourcing: Internal & External • Call centres abroad: TCF compliance • Data protection/data security • Dealing with non-regulated third parties • Issues raised by members Click here for event summary (pdf)

18th Feb 08	Operational Risk	London
Operational Risk
Chairman Darren Munday Associate Director Protiviti Tower 42, 25 Old Broad St	Discussion Topics • Embedding operational risk practice • Operational risk: evidencing value • Risk convergence: realigning the business • Pillar 3 waiver • Future regulations; impact of 2007 • Experiences of rating agencies • Experiences of IT tools • Issues raised by members Click here for event summary (pdf)
Sponsors - Protiviti & Oracle

11th Feb 08	Retail - North	Leeds
Distribution: Working with Third Parties
Chairman Alastair Noble Senior Manager, Regulatory Practice PricewaterhouseCoopers Radisson Hotel, No 1, The Light	Discussion Topics • Imposing/regulating TCF standards • Due diligence • Measuring sales and consistency • Outsourcing: Internal & External • Call centres abroad: TCF compliance • Data protection/data security • Dealing with non-regulated third parties • Issues raised by members Click here for event summary (pdf)

11th Feb 08	Asset Management - MiFID	London
Asset Management - MiFID
Chairman Elinor Murray Senior Manager Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • MiFID/UCITS update • Transaction Reporting • Best Execution: evidence; reporting to clients • Outsourcing • TCF • Promotions under MiFID • Issues raised by members Click here for event summary (pdf)

11th Feb 08	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Simon Crown Senior Associate Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Compliance monitoring • Incorporating MiFID processes into standard monitoring • Client classification • FSA supervisory priorities • MI • Customer response/benefits • Issues raised by members Click here for event summary (pdf)

4th Feb 08	Asset Management	London
Distribution: Working with Third Parties
Chairman Scott Soper Senior Manager, Regulatory Grant Thornton Tower 42, 25 Old Broad St	Discussion Topics •Imposing/regulating TCF standards •Due diligence •Monitoring sales and consistency •Outsourcing: internal & external •Call centres abroad: TCF compliance •Data protection/data security •Dealing with non-regulated third parties • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton

28th Jan 08	Complaints Handling	Manchester
Complaints Handling
Chairman Elliot Dunseath Manager, Regulatory Practice Ernst & Young Radisson Hotel, Peter St	Discussion Topics • TCF: consistency across the business; March deadline • MI: reports; demonstrating progress • FOS: Rulings; Hunt Review • PPI: managing volumes; collecting MI • Measuring customer satisfaction • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

28th Jan 08	Financial Promotions	London
Financial Promotions
Chairman Paul Jennings Senior Manager, Regulatory Ernst & Young Tower 42, 25 Old Broad Street	Discussion Topics • Tailoring promotions • Risk warnings • Capturing feedback • Evidencing to the FSA • TCF and working within principles-based regulations • Issues raised by members

21st Jan 08	Compliance - Scotland	Edinburgh
TCF: Embedding into the Business
Chairman Andrew Shiels Principal Advisor KPMG Balmoral Hotel, Princes St	Discussion Topics • March deadline: project progress • MI - collection and analysis • Utilising MI in the business • Effecting a cultural change • TCF: post-sale • Measuring outcomes • Senior management buy-in • Issues raised by members Click here for event summary (pdf)

21st Jan 08	Operational Risk	London
Operational Risk
Chairman Charles Beach Director, Risk Management PricewaterhouseCoopers Tower 42, 25 Old Broad St	Discussion Topics • Indirect impacts - regulatory, reputational • Northern Rock - lessons learned • The extended enterprise - third parties / outsourcing • Scenario analysis, stress testing • Impact of the macro-economy • Issues raised by members Click here for event summary (pdf)
Sponsors - PricewaterhouseCoopers & Oracle

14th Jan 08	Retail - North	Manchester
TCF: Embedding into the Business
Chairman Rod Hepple-Wilson Director Mazars Radisson Hotel, Peter St	Discussion Topics • March deadline: project progress • MI - collection and analysis • Utilising MI in the business • Effecting a cultural change • TCF: post-sale • Measuring outcomes • Senior management buy-in • Issues raised by members Click here for event summary (pdf)
Sponsors - Mazars

14th Jan 08	Asset Management - MiFID	London
Asset Management - MiFID
Chairman Natasha Newbold Senior Manager Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Project progress • Transaction reporting • Outsourcing • Reporting to clients • Best execution monitoring • Advisory business • TCF • Issues raised by members Click here for event summary (pdf)
Sponsors - Ernst & Young

14th Jan 08	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Tim Rooke Partner Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Progress in Europe • MiFID MI • Inducements • Strategic review/ Creating competitive advantage • Defining advice • Relationship with the buy-side/ Finalising agreements • Issues raised by members Click here for event summary (pdf)
Sponsors - Ernst & Young

7th Jan 08	Asset Management	London
TCF: Embedding into the Business
Chairman Andrew Shiels Principal Advisor KPMG Tower 42, 25 Old Broad St	Discussion Topics • March deadline: project progress • MI - collection and analysis • Effecting a cultural change • Measuring outcomes • Senior management buy-in • Principles-based regulation and the FSA • Issues raised by members Click here for event summary (pdf)

10th Dec 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young The City Club, 19 Old Broad St	Discussion Topics • Non-EEA clients • Broker terms • Transaction reporting • Inducements • Best execution monitoring • Impact of MiFID • Issues raised by members Click here for event summary (pdf)

26th Nov 07	Complaints Handling	London
Complaints Handling
Chairman Paul Burwood Senior Manager Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • PPI • FOS Rulings • Staff Objectives and Incentives • Quality Checking • Customer Feedback • Issues raised by members Click here for event summary (pdf)

19th Nov 07	Operational Risk	London
Operational Risk
Chairman Richard Smith Partner, Risk Management PricewaterhouseCoopers Tower 42, 25 Old Broad St	Discussion Topics • Day-to-day best practice • Risk appetite • Embedding frameworks • Advanced measurement approach • Approved persons / SYSC • Issues raised by members Click here for event summary (pdf)

19th Nov 07	Compliance - Scotland	Edinburgh
Planning for 2008
Chairman Stuart Freebody Senior Consultant Huntswood Consulting Guest Contributor Jim Burns CTO Financial Services Microsoft UK Balmoral Hotel, Princes St	Discussion Topics • Industry Review 2007 • Retail Distribution Review • Meeting TCF Deadlines • Management Information • NEWCOB & MIFID • Challenges for 2008 • Issues raised by members Click here for event summary (pdf)

12th Nov 07	Retail - North	Leeds
Planning for 2008
Chairman Stuart Freebody Senior Consultant Huntswood Consulting Radisson Hotel, No 1, The Light	Discussion Topics • Industry Review 2007 • Retail Distribution Review • Meeting TCF Deadlines • Management Information • NEWCOB & MIFID • Challenges for 2008 • Issues raised by members Click here for event summary (pdf)

12th Nov 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Transaction reporting • Client money • Order execution policy • Exported PM/Trading to non-EEA jurisdictions • Broker Communications • Issues raised by members Click here for event summary (pdf)

12th Nov 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Tim Rooke Partner Ernst & Young Guest Contributor Chris Bates Partner Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • MiFID progress update • Non-UK developments • The perimeter of MiFID / Non-MiFID • Inducements • Broker communications • Issues raised by members Click here for event summary (pdf)

6th Nov 07	Mid-Tier Buy-Side - MiFID	London
Mid-Tier - MiFID
Chairman Rob Nieves Director, Business Risk Protiviti Tower 42, 25 Old Broad St	Discussion Topics • Principles based approach • Post implementation review • Client's experience of MiFID • Broker communications • Training • Transaction reporting updates • Issues raised by members Click here for event summary (pdf)

6th Nov 07	Mid-Tier Sell-Side - MiFID	London
Mid-Tier - MiFID
Chairman Rob Nieves Director, Business Risk Protiviti Tower 42, 25 Old Broad St	Discussion Topics • Principles based approach • Post implementation review • Client's experience of MiFID • Broker communications • Training • Transaction reporting updates • Issues raised by members Click here for event summary (pdf)

5th Nov 07	Asset Management	London
Planning for 2008
Chairman Scott Soper Senior Manager Grant Thornton Tower 42, 25 Old Broad St	Discussion Topics • Industry Review 2007 • Retail Distribution Review • Meeting TCF Deadlines • Management Information • NEWCOB & MIFID • Challenges for 2008 • Issues raised by members Click here for event summary (pdf)

22nd Oct 07	Complaints Handling	Manchester
Complaints Handling
Chairman Elliot Dunseath Regulatory Manager Ernst & Young Radisson Hotel, Peter St	Discussion Topics • Complaints handling SLAs • Complaints ownership • Proposed rule change • Training • Aggregating complaints information • Issues raised by members Click here for event summary (pdf)

15th Oct 07	Compliance - Scotland	Edinburgh
Principles-Based Regulation
Chairman Andrew Shiels Principle Adviser KPMG Balmoral Hotel, Princes St	Discussion Topics • Embedding Principles • Cultural Change • Senior Management Buy-in • Issues raised by members Click here for event summary (pdf)

8th Oct 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young Guest Contributor Rob Cain Senior Associate, Banking & Finance Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Fund Issues in IMA Letter • Progress on Best Execution • Broker Communications • Issues raised by members Click here for event summary (pdf)

8th Oct 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Matthew Oswald Partner Ernst & Young Guest Contributor Richard Withers Lawyer Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Project Progress • Non UK Regulatory Developments • How regulatory responses develop in 2008 • Issues raised by members Click here for event summary (pdf)

8th Oct 07	Retail - North	Manchester
Principles-Based Regulation
Chairman Rob Hayes Consultant Hayes Associates Midland Hotel, 16 Peter St	Discussion Topics • Embedding Principles • Cultural Change • Senior Management Buy-in • Issues raised by members Click here for event summary (pdf)

2nd Oct 07	Mid-Tier Buy-Side - MiFID	London
Mid-Tier Buy-Side - MiFID
Chairman Rob Nieves Consultant Protiviti Tower 42, 25 Old Broad St	Discussion Topics • Transaction reporting • European branches • Telephone recording • Suitability and appropriateness • Project progress • Post-MiFID impact • Issues raised by members Click here for event summary (pdf)

1st Oct 07	Asset Management	London
Principles-Based Regulation
Chairman Joe Chiaro Senior Consultant Beachcroft Guest Contributor Jim Burns CTO Financial Services Microsoft UK Tower 42, 25 Old Broad St	Discussion Topics • Embedding principles • Cultural change • Senior management buy-in • Issues raised by members Click here for event summary (pdf)

24th Sep 07	Complaints Handling	London
Complaints Handling
Chairman Paul Burwood Manager, Regulatory Risk Practice Ernst & Young Jenny Clayton Director, Regulatory Practice Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Incentive schemes • Training • Evidencing to the FSA and FOS • Complaints MI • Industry trends • Issues raised by members Click here for event summary (pdf)

17th Sep 07	Compliance - Scotland	Edinburgh
Complaints Handling Analysis and MI
Chairman Jenny Clayton Director FS Regulatory Practice Ernst & Young Balmoral Hotel, Princes St	Discussion Topics • How do firms retain consistency of analysis? • How can complaints MI be used to effectively raise the profile of complaints? • How can complaints data be used as customer feedback throughout the firm? • Issues raised by members Click here for event summary (pdf)

10th Sep 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Munib Ali Senior Manager Ernst & Young Guest Contributor Chris Bates Partner Clifford Chance LSE, 10 Paternoster Sq	Discussion Topics • Record keeping • Client reporting • Transaction reporting • Approved persons/passporting • European rules • Working with buy-side firms • Issues raised by members Click here for event summary (pdf)

10th Sep 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young Guest Contributor Rob Cain Senior Associate Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • FSA’s view of Nov 1st shortcomings • Cross border issues • Inducements • Best execution • Broker terms • Client consent • Issues raised by members Click here for event summary (pdf)

10th Sep 07	Retail - North	Leeds
Improving Financial Promotions
Chairman Ashley Carter Chief Executive, Regulatory Outsourcing Grant Thornton Radisson Hotel, No 1, The Light	Discussion Topics • Will a greater focus on principles-based regulation allow firms more or less scope and flexibility for marketing? • How do firms measure the average target group in order to closely tailor promotions and risk warnings to the intended consumer? • How can compliance data and MI be used to monitor the success of a campaign? • Issues raised by members Click here for event summary (pdf)

5th Sep 07	Mid-Tier Sell-Side - MiFID	London
Mid-Tier Sell-Side - MiFID
Chairman Bob Fuller CEO Equiduct Great Eastern, 40 Liverpool St	Discussion Topics • FSA enforcement • Record keeping • Outsourcing • Transaction reporting • Best execution • New execution venues • Investment research • Issues raised by members Click here for event summary (pdf)

4th Sep 07	Mid-Tier Buy-Side - MiFID	London
Mid-Tier Buy-Side - MiFID
Chairman Clare Vincent-Silk Consultant Investit Tower 42, 25 Old Broad St	Discussion Topics • Best execution • Client communications • Inducements • Suitability and appropriateness • Transaction reporting • Issues raised by members Click here for event summary (pdf)

3rd Sep 07	Asset Management	London
Improving Financial Promotions
Chairman Sarah Willison Consultant Guest Contributor Richard Lawes Senior Associate FSA Tower 42, 25 Old Broad St	Discussion Topics • Will a greater focus on principles-based regulation allow firms more or less scope and flexibility for marketing? • How can firms achieve a balance between key marketing messages and the associated risks? • How can compliance data and MI be used to monitor the success of a campaign? • Issues raised by members Click here for event summary (pdf)

13th Aug 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman Natasha Newbold Senior Manager Regulatory Practice Ernst & Young Guest Contributor Richard Withers Associate Clifford Chance Great Eastern, 40 Liverpool St	Discussion Topics • Repapering • Trade and transaction reporting • Client consent • Issues raised by members Click here for event summary (pdf)

13th Aug 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Tim Rooke Partner, Regulatory Practice Ernst & Young Munib Ali Senior Manager Ernst & Young Guest Contributor Chris Bates Partner Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Record keeping • Repapering • Training • Inducements • Issues raised by members Click here for event summary (pdf)

7th Aug 07	Mid-Tier Buy-Side - MiFID	London
Mid-Tier Buy-Side - MiFID
Chairman Alan Jenkins European Head of MiFID BearingPoint Tower 42, 25 Old Broad St	Discussion Topics • Best execution • Inducements • Risk disclosure • Issues raised by members Click here for event summary (pdf)

1st Aug 07	Mid-Tier Sell-Side - MiFID	London
Mid-Tier Sell-Side - MiFID
Chairman Alan Jenkins European Head of MiFID BearingPoint Tower 42, 25 Old Broad St	Discussion Topics • Progress on policies • Client classification • Staff training / senior management responsibility • Suitability and appropriateness • TCF • FSA enforcement • Issues raised by members Click here for event summary (pdf)

23rd Jul 07	Compliance - Scotland	Edinburgh
TCF: Overhead or Differentiator
Chairman Tim Kirk Managing Director The Kirk Consultancy Balmoral Hotel, Princes St	Discussion Topics • How can firms maximise compliance and customer service? • How can firms gather information from customers without being needlessly intrusive? • What are the key drivers for an overall customer experience? • What are the key internal touch points for changing culture to improve the customer experience? • Issues raised by members Click here for event summary (pdf)

9th Jul 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman John Neasham Senior Manager Ernst & Young Guest Contributor Tim Plews Partner Clifford Chance Richard Withers Associate Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Repapering • Best Execution/Prior Express Consent • Advice/Suitability • Post-MiFID landscape • Home / Host issues • Inducements • Issues raised by members Click here for event summary (pdf)

9th Jul 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman Natasha Newbold Senior Manager Regulatory practice Ernst & Young Guest Contributor Rob Cain Senior Associate Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Inducements • Conflicts policies • Suitability and appropriateness • Outsourcing • Non-EEA jurisdictions • Trade and transaction reporting • Issues raised by members Click here for event summary (pdf)

9th Jul 07	Retail - North	Manchester
Complaints Handling: Customer Feedback
Chairman Rod Hepple-Wilson Senior Manager, Business Recovery Mazars Radisson Hotel, Peter St	Discussion Topics • How can complaints data be used as customer feedback throughout the firm? • How can complaints teams get feedback from complainants without causing undue distress? • How do firms measure success? • What do customers consider important in the complaints process? • Issues raised by members Click here for event summary (pdf)

4th Jul 07	Mid-Tier Sell-Side - MiFID	London
Mid-Tier Sell-Side - MiFID
Chairman John Neasham Senior Manager Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Transaction reporting • Confirms • Conflicts • Outsourcing • Best Execution • COB • Issues raised by members Click here for event summary (pdf)

3rd Jul 07	Mid-Tier Buy-Side - MiFID	London
Mid-Tier Buy-Side - MiFID
Chairman Richard Thornton Associate Partner PA Consulting Great Eastern, 40 Liverpool St	Discussion Topics • Transaction reporting • Conflicts of interest • Outsourcing • Issues raised by members Click here for event summary (pdf)

2nd Jul 07	Asset Management	London
Complaints Handling: Customer Feedback
Chairman Ashley Carter Chief Executive, Regulatory Outsourcing Grant Thornton Tower 42, 25 Old Broad St	Discussion Topics • How can complaints data be used as customer feedback throughout the firm? • How can complaints teams get feedback from complainants without causing undue distress? • How do firms measure success? • What do customers consider important in the complaints process? • Issues raised by members Click here for event summary (pdf)

18th Jun 07	Compliance - Scotland	Edinburgh
Customer Communications: Launching New Products
Chairman Sarah Willison Consultant Balmoral Hotel, Princes St	Discussion Topics • Will a greater focus on principles-based regulation allow firms more or less scope and flexibility for marketing? • How do firms measure the average target group in order to closely tailor promotions and risk warnings to the intended consumer? • How can firms achieve a balance between key marketing messages and the associated risks? • How can compliance data and MI be used to monitor the success of a campaign? • Issues raised by members Click here for event summary (pdf)

11th Jun 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Tim Rooke Partner Ernst & Young Chris Bates Partner Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Confirms and statements • Inducements • Record keeping/telephone recording • Issues raised by members Click here for event summary (pdf)

11th Jun 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young Guest Contributor Rob Cain Senior Associate Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Trade and transaction reporting • Securities trading • Definition of inducements • MiFID packs • Staff training • Issues raised by members Click here for event summary (pdf)

11th Jun 07	Retail - North	Leeds
Customer Communications: Launching New Products
Chairman Mark Cullen Principal Consultant Huntswood Consulting Radisson Hotel, No 1, The Light	Discussion Topics • How can time to market be improved without detriment to customers? • How can more complex and competitive products be simplified for the customer? • How can marketing help generate the tools for an improved customer experience? • Customer feedback: how can information from other areas of the firm be used to maintain an up-to-date picture of changes in customer requirements and behaviour? • Issues raised by members Click here for event summary (pdf)

4th Jun 07	Asset Management	London
Customer Communications: Launching New Products
Chairman Angus Milne Senior Adviser IMA Tower 42, 25 Old Broad St	Discussion Topics • How can time to market be improved without detriment to customers? • How can more complex and competitive products be simplified for the customer? • How can marketing help generate the tools for an improved customer experience? • Issues raised by members Click here for event summary (pdf)

4th Jun 07	Mid-Tier Buy-Side - MiFID	London
Mid-Tier - MiFID
Chairman Rob Nieves Director KPMG The City Club, 19 Old Broad St	Discussion Topics • Suitability and appropriateness • MiFID benefits • Stakeholder communications • Best execution • Monitoring • Issues raised by members Click here for event summary (pdf)

4th Jun 07	Mid-Tier Sell-Side - MiFID	London
Mid-Tier - MiFID
Chairman Rob Nieves Director KPMG The City Club, 19 Old Broad St	Discussion Topics • Suitability and appropriateness • MiFID benefits • Stakeholder communications • Best execution • Monitoring • Issues raised by members Click here for event summary (pdf)

21st May 07	Compliance - Scotland	Edinburgh
TCF: Overhead or Differentiator?
Chairman Rob Hayes Consultant Hayes Associates Balmoral Hotel, Princes St	Discussion Topics • How can firms ensure that marketing initiatives are compliant and retain impact and effectiveness? • How can firms communicate better with customers without compromising the ability to make strategic and commercial judgements? • How can firms measure return on investment from increased clarity of communications? • How do firms obtain customer feedback on the language, layout and information provided in product literature? • Issues raised by members Click here for event summary (pdf)

14th May 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman Natasha Newbold Senior Manager, Regulatory Practice Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • MiFID scope • Disclosure • Inducements • Client communications • Best execution • Classification • Trade confirmations • European agenda • Issues raised by members Click here for event summary (pdf)

14th May 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Tim Rooke Partner Ernst & Young Guest Contributor Chris Bates Partner Clifford Chance Ric Garvey Senior Manager, Technical Compliance Lloyds TSB Tower 42, 25 Old Broad St	Discussion Topics • Repapering • Stakeholder communications • Best execution • Transaction reporting • Issues raised by members Click here for event summary (pdf)

14th May 07	Retail - North	Manchester
TCF: Overhead or Differentiator?
Chairman Andrew Howgego Senior Manager KPMG Radisson Hotel, Peter St	Discussion Topics • How can firms maximise compliance and customer service? • How can firms gather information from customers without being needlessly intrusive? • What are the key drivers for an overall customer experience? • What are the key internal touch points for changing culture to improve the customer experience? • Issues raised by members Click here for event summary (pdf)

7th May 07	Asset Management	London
TCF: Overhead or Differentiator?
Chairman Sarah Herbert Consultant Winchester White Tower 42, 25 Old Broad St	Discussion Topics • How can firms maximise compliance and customer service? • How can firms gather information from customers without being needlessly intrusive? • What are the key drivers for an overall customer experience? • What are the key internal touch points for changing culture to improve the customer experience? • Issues raised by members Click here for event summary (pdf)

23rd Apr 07	Compliance - Scotland	Edinburgh
TCF: Managing the Provider / Distributor Relationship
Chairman Tim Kirk Managing Director The Kirk Consultancy Balmoral Hotel, Princes St	Discussion Topics • On what basis should due diligence be carried out on partners? • Is this necessary if the firm is FSA regulated? • Are commercial considerations appropriate under TCF? • How should the provider monitor sales to ensure that the right customers bought their products? • How can firms maintain consistency through complex distribution chains? • How much MI and commercial / sales information should partners share? • How can this be used most effectively? What criteria should be used to measure TCF performance? • Issues raised by members Click here for event summary (pdf)

9th Apr 07	Retail - North	Manchester
Complaints Handling: Analysis and MI
Chairman Mike Harrison Consultant Huntswood Consulting Radisson Hotel, Peter St	Discussion Topics • How do firms retain consistency of analysis? • How can complaints MI be used to effectively raise the profile of complaints? • Staff feedback: do team leaders look for anomalies? Are staff questioned on decisions or informed of improvements as a result of persistent complaints? • Defining best practice: how are firms measuring performance? • Issues raised by members Click here for event summary (pdf)

9th Apr 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Tim Rooke Partner Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Passporting • Home/Host • Advice • Issues raised by members Click here for event summary (pdf)

9th Apr 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Suitability and Appropriateness • Issues raised by members Click here for event summary (pdf)

12th Mar 07	Retail - North	Manchester
Fair Communications
Chairman Rob Hayes Consultant Hayes Associates Radisson Hotel, Peter St	Discussion Topics • How can firms ensure that marketing initiatives are compliant and retain impact and effectiveness? • How can firms communicate better with customers without compromising the ability to make strategic and commercial judgements? • How can firms measure return on investment from increased clarity of communications? • How do firms obtain customer feedback on the language, layout and information provided in product literature? • Issues raised by members Click here for event summary (pdf)

12th Mar 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young Guest Contributor Kate Turner Head of Risk and Compliance Newton Tower 42, 25 Old Broad St	Discussion Topics • Best execution • Inducements • Outsourcing • Issues raised by members Click here for event summary (pdf)

5th Mar 07	Asset Management	London
Fair Communications
Chairman Mervyn Taylor Senior Manager RSM Robson Rhodes Tower 42, 25 Old Broad St	Discussion Topics • TCF and fairness in customer communications • How to capture and measure customer feedback • How MiFID will change current practices and approaches • How marketing and compliance departments work together • Customer literature • Measuring the benefit of improved customer communications • Issues raised by members Click here for event summary (pdf)

12th Feb 07	Retail - North	Manchester
MiFID and NEWCOB: The Impact on Customer Relationships
Chairman Adrian Jackson Consultant PricewaterhouseCoopers Guest Contributor Steve Barclay, Director of Regulatory Affairs, UK Barclays Philip Buttifant Director of Wholesale BBA Radisson Hotel, Peter St	Discussion Topics • Principles-based regulation • Europe • MiFID and NEWCOB compliance • System changes • Issues raised by members Click here for event summary (pdf)

5th Feb 07	Asset Management	London
NEWCOB & MiFID: The Impact on Customer Relationships
Chairman Graham O’Connell Director, Advisory Financial Services PricewaterhouseCoopers Tower 42, 25 Old Broad St	Discussion Topics • Projects • Client relationships • Suitability • Inducements / Trail Commissions • Conflicts • Outsourcing • Issues raised by members Click here for event summary (pdf)

15th Jan 07	Retail - North	Manchester
TCF: Managing the Provider / Distributor relationship
Chairman Paul Jennings Senior Manager Regulatory Practice Ernst & Young Radisson Hotel, Peter St	Discussion Topics • Auditing distributors • Defining and Maintaining Relationships • White labelling • Management Information • Impact of TCF • Issues raised by members Click here for event summary (pdf)

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