Traditionally, regulators around the world focused on the way in which financial services products were sold. They assumed that if the sales process worked, everything would be well. Then, a stream of misselling scandals convinced the authorities and legislators in different parts of Europe and at EU level that it was the products that did most of the damage. MiFID 2 builds on the experience of a number of financial centres, such as the UK, which have come to focus as the way products are built and reviewed and the governance structures required to make them safe. We will be tackling the MiFID 2 rules and ESMA materials on product governance, using the UK guidance to help us build and review products safely.
Who should attend:
Anyone involved in product design, risk management, compliance and corporate governance should attend. Also people involved in marketing coming because they will be able to see how their role fits within product governance framework.
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Adam Samuel is a lawyer qualified in the UK and the USA. For the last 21 years, Adam has run his own training and consulting business, helping out regulators in three continents on customer-facing issues. He has the qualifications required of a financial, mortgage and equity release adviser and the UK CISI compliance diploma. Adam wrote the only book on consumer financial services complaint handling in the UK and a guide to the SFC Code for Intermediaries in Hong Kong. The Gibraltar Supreme Court followed his expert evidence in van Geens v. Jyske Bank on product risk, compliance and advice standards around the world. Adam has broadcast on a number of BBC domestic and World Service programmes, including the national news on financial services compliance and banking issues.