Oben Regulatory speak at Jersey Compliance Officers Association on the topic of Conduct Risk

On Tuesday 2 May 2017, Jamie Biddle, Nicola Ingram and Alexandra Ruddy spoke to the Jersey Compliance Officers Association on the topic of Conduct Risk.

This is currently a hot topic in light of the FCA’s recent feedback from the first round of their Annual Conduct Meetings.

Our slides from the presentation are attached below.

We should be grateful if you would participate in our short survey on this topic, designed for local financial services businesses; the results of which will be published approximately two weeks following our talk. Please click the following link: Conduct Risk Survey

Should you wish to contact us to discuss Conduct Risk or any other matters and how Oben can assist your business please contact any of:

Jamie: +44 (1534) 849715 or jamie.biddle@oben.je

Nicola: +44 (1534) 849716 or nicola.ingram@oben.je

Alex: +44 (1534) 849717 or alexandra.ruddy@oben.je

  • Change in practices: continuing standards (COVID 19 and working from home)

    Covering topics of: CDD, Data Protection, Voice Recording, Short Selling and other fund matters Applicable to: each financial industry sector, investment businesses, funds and fund services businesses These unprecedented circumstances …

  • Oben appoints assistant manager to the team

    Oben is pleased to announce the appointment of a new employee, Amy Hamon who has joined as an assistant manager in the firm’s regulatory practice. Prior to joining Oben, Amy …

  • Oben appoints senior manager to the team

    Oben is delighted to announce the appointment of Mikie Tilbury as a senior manager in the firm’s regulatory practice. Mikie has sixteen years’ financial regulatory compliance and operational risk experience …