Corporate Governance for Financial Institutions Courses - LONDON CORPORATE TRAINING

Tel: +44 203 609 8690



LCT is a very organised institution with fantastic trainers. In general it was an excellent experience. I recommend this organisation to anyone who intends to train their staff.

Medical Laboratory Scientist
National Petroleum Investment Management Services (NAPIMS), Nigeria

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Corporate Governance for Financial Institutions

Course Ref: AM.5A

Course Subject: Advanced Management

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Dates for This Course

Who should attend?

  • Regulatory authorities in Banking, Insurance, Pensions and Capital Markets
  • Executive and non-executive Board and committee members
  • Company secretaries
  • Shareholder representatives
  • Senior managers and executives
  • Corporate lawyers
  • Marketing specialists
  • Institutional investors

Learning objectives

  • To have a comprehensive overview of international Corporate Governance drivers
  • To be able to apply their new knowledge of Corporate Governance to their organisation
  • To be able to critically review their organisation’s Board structure and compare with best practice
  • To make the important link between Governance, Risk Management and Compliance (GRC)
  • To learn how to implement strong internal controls and relevant checks and balances
  • To assess the essential elements of Corporate Governance Codes and Legislation and evaluate their own organisation against best practice
  • To have gained an appreciation of ethics and values in the financial community and the relationship to corporate governance

Course content

The World of Corporate Governance Today

  • International events leading to governance reform
  • Purpose and objectives of governance including agency risk and moral hazard
  • US Sarbanes Oxley - act style legislation vs. UK-style voluntary code: focusing where possible on participant’s countries
  • Standards-driving bodies and evolving principles
  • Formative regulatory bodies including OECD, Basel Committee, SECs and CMAs, Central Banks

Main Components and Principles

  • Eight principles which underpin every system of governance
  • OECD Code core concepts and guidance
  • Listing requirements and continuous obligations
  • Corporate Governance in the financial sector – raising the bar – what is special about banks and bank governance?
  • Basel Committee’s guidance on enhancing corporate governance for the banking sector
  • Review of European Union’s approach to Corporate Governance in Financial Institutions

The Governing Body

  • What does a “Good” financial institution look like
  • Alternative board structures – dual and unitary boards
  • Different types of board members: their roles and responsibilities, including the Secretary to the Board
  • The growing importance of the INED
  • The vital role of Board Committees in the new era of governance, including the audit committee, nominations & remuneration committee and the risk committee

Corporate Governance, Risk Management and Compliance (GRC) in Financial Institutions

  • The growth and linkage of these three topics in finance
  • The main components of Enterprise Risk Management (ERM)
  • The central role of internal controls and linkage to ERM
  • Best practice compensation principles and standards
  • Shareholders, depositors and other stakeholders need for disclosure and transparency

Corporate Social Responsibility (CSR)

  • Defining CSR
  • The link between CSR and Corporate Governance
  • CSR – economic, legal, ethical and discretionary aspects
  • CSR and financial institutions – is it just a public relations exercise?
  • Where does the regulator fit in?
  • The course will end with a multi-choice questionnaire to assess the level of knowledge gained and to fresh and assist the retention of new information