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

  • 26.08.2022 Law Regulatory
    The UK’s Register of Overseas Entities

    The UK Register of Overseas Entities (the “Register”) was launched at Companies House on 1 August 2022, pursuant to the Economic Crime (Transparency and Enforcement) Act 2022 (the “Act”). The …

  • 17.08.2021 Law Regulatory
    Inconsistency over cannabis in the crown dependencies causes confusion for compliance officers

    With increased interest in the economic contribution from a cannabis industry, all three Crown Dependencies have embarked on creating an environment to encourage direct industrial and related financial activity.  However, …

  • 09.04.2021 Regulatory
    Jersey Private Fund Thematic Review

    The JFSC issued the results of its thematic review of designated service providers (“DSP’s”) in ensuring a Jersey Private Fund’s (JPF’s) compliance with the JPF Guide and the DSPs responsibilities …