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 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 email@example.com
Nicola: +44 (1534) 849716 or firstname.lastname@example.org
Alex: +44 (1534) 849717 or email@example.com