| 9th Sep 10 | Asset Management | London |
|---|---|---|
| Asset Management | ||
|
Chairman Tony Bronk Director BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map) 2-2.15 to 4pm, followed by drinks |
Discussion Topics • Bribery Act • Enhanced CAS • RDR • Stress testing • Liquidity policies and contingency funding requirements • AIFM update • UCITS IV • Data protection / security • Provision of MI to board • Living wills • Issues raised by members |
|
| 13th Sep 10 | Private Wealth Management | London |
|---|---|---|
| Private Wealth Management | ||
|
Chairman Scott Soper Compliance Director Foster Denovo Tower 42, 25 Old Broad Street, London EC2N 1HQ (map) 3-3.15 to 5pm, followed by drinks |
Discussion Topics • Corporate governance • RDR • Financial Services Act • Liquidity -- stress testing -- monitoring risk framework -- embedding into the ICAAP • Living wills • Issues raised by members |
|
| 16th Sep 10 | RDR Group - London | London |
|---|---|---|
| RDR Group - London | ||
|
Chairman Tim Reid Director, Financial Services Group Grant Thornton Grant Thornton, 30 Finsbury Square, London EC2A 1AG (map) 3-3.15 to 5pm, followed by drinks |
Discussion Topics • Simplified advice • Platforms -- advisers: single platform for all clients? -- fund managers: fund rebates to platforms • Product design: factory-gate pricing -- front-end cost of advice -- non-advised funds/low-cost options • Distribution in zero commission world -- manufacturer competition -- behavioural changes • Factoring ban: implications • CP10/14: Clear responsibilities • Adviser charging: VAT payments |
|
| Sponsors - Grant Thornton | ||
| 20th Sep 10 | Operational Risk | London |
|---|---|---|
| Operational Risk | ||
|
Chairman Fiona Raistrick Senior Manager, FS Regulatory Practice BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map) 3-3.15 to 5pm, followed by drinks |
Discussion Topics • Control function interconnectivity -- risk -- compliance -- audit • Horizon & emerging risks • ICAAP, estimating risk and AAF • Embedding accountability: Turnbull sign off • Risk systems • Issues raised by members |
|
| 23rd Sep 10 | Financial Crime | London |
|---|---|---|
| Financial Crime | ||
|
Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
2-2.15 to 4pm, followed by drinks |
Discussion Topics • Issues raised by members |
|
| 27th Sep 10 | Complaints Handling | London |
|---|---|---|
| Complaints Handling | ||
|
Chairman Stuart O'Sullivan Principal Consultant Huntswood Tower 42, 25 Old Broad Street, London EC2N 1HQ (map) 2-2.15 to 4pm, followed by drinks |
Discussion Topics • MI • Retrospective complaints reviews • DISP rules • Data contextualisation • FOS relationship • PPI • Qualifications for complaint handlers • Issues raised by members |
|
| Sponsors - CDC Software & Huntswood | ||
| 28th Sep 10 | Compliance - Scotland | Edinburgh |
|---|---|---|
| Compliance Group | ||
|
The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
3-3.15 to 5pm, followed by drinks |
Discussion Topics • Issues raised by members |
|
| 11th Oct 10 | Private Wealth Management | London |
|---|---|---|
| Private Wealth Management | ||
|
Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
3-3.15 to 5pm, followed by drinks |
Discussion Topics • Issues raised by members |
|
| 18th Oct 10 | Operational Risk | London |
|---|---|---|
| Operational Risk | ||
|
Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
3-3.15 to 5pm, followed by drinks |
Discussion Topics • Issues raised by members |
|
| 19th Oct 10 | Financial Crime | London |
|---|---|---|
| Financial Crime | ||
|
Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
2-2.15 to 4pm, followed by drinks |
Discussion Topics • Issues raised by members |
|
| 25th Oct 10 | Complaints Handling | Edinburgh |
|---|---|---|
| Complaints Handling | ||
|
The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
2-2.15 to 4pm, followed by drinks |
Discussion Topics • Issues raised by members |
|
| Sponsors - CDC Software & Huntswood | ||
| 26th Oct 10 | Compliance - Scotland | Edinburgh |
|---|---|---|
| Compliance Group | ||
|
The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
3-3.15 to 5pm, followed by drinks |
Discussion Topics • Issues raised by members |
|
| 4th Nov 10 | Asset Management | London |
|---|---|---|
| Asset Management | ||
|
Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
2-2.15 to 4pm, followed by drinks |
Discussion Topics • Issues raised by members |
|
| 8th Nov 10 | Private Wealth Management | London |
|---|---|---|
| Private Wealth Management | ||
|
Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
3-3.15 to 5pm, followed by drinks |
Discussion Topics • Issues raised by members |
|
| 15th Nov 10 | Operational Risk | London |
|---|---|---|
| Operational Risk | ||
|
Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
3-3.15 to 5pm, followed by drinks |
Discussion Topics • Issues raised by members |
|
| 16th Nov 10 | Financial Crime | London |
|---|---|---|
| Financial Crime | ||
|
Tower 42, 25 Old Broad Street, London, EC2N 1HQ (map)
2-2.15 to 4pm, followed by drinks |
Discussion Topics • Issues raised by members |
|
| 22nd Nov 10 | Complaints Handling | London |
|---|---|---|
| Complaints Handling | ||
|
Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
2-2.15 to 4pm, followed by drinks |
Discussion Topics • Issues raised by members |
|
| Sponsors - CDC Software & Huntswood | ||
| 23rd Nov 10 | Compliance - Scotland | Edinburgh |
|---|---|---|
| Compliance Group | ||
|
The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
3-3.15 to 5pm, followed by drinks |
Discussion Topics • Issues raised by members |
|
