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Corporate Governance for Financial Institutions

Course Information:

Online 12 hours Flexi-date£1,750.00
In-House Agreed with client FlexiblePOA
London 5 days 14-Mar£3,500.00
London 5 days 11-Jul£3,500.00
London 5 days 7-Nov£3,500.00


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    LCT 2022 Brochure
    LCT 2022 Brochure

    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



    • Understand corporate governance of the international financial sector
    • Apply the latest knowledge of Corporate Governance to their organisation
    • Critically review their organisation’s Board structure and compare with best practice
    • Appreciate the inter-dependence of Governance, Risk management & Compliance (GRC)
    • Implement strong internal controls and relevant checks and balances
    • Assess the essential elements of Corporate Governance Codes and Legislation and evaluate their own organisation against best practice
    • Appreciate ethics and values in the financial community and the relationship to corporate governance


    The World of CorporateGovernance 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

    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

    Main Components and Principles

    • Eight principles which underpin every system of governance
    • OECD Code core conceptsand 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

    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

    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

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