Date: 27 November 2018 | Time: 18:00-20:00 | Location: EIMF Nicosia | CPD: 1
Everyone is mad about robots and what they could achieve in the retail financial services area! The thinking is that in the future, you could just enter your personal data, attitude to risk and investment timescales and come away with a lovely investment to meet your needs without the costs, bias or fallibility of a human.
This Public Lecture looks at the compliance implications of robotics in this area and asks whether this is just yet another example of extravagant claims for types of automation we’ve been looking at for years.
In this short lecture we will be looking at how compliance interacts with robots while brushing up everyone’s knowledge of retail compliance.
Understanding what robots are
What’s the point?
Implications of robotics
Adam Samuel is a lawyer qualified in the UK and the USA. Since 1996, 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.
Date: 30 November 2018 | Time: 18:00-20:00 | Location: EIMF Nicosia | CPD: 1
According to MiFID II, CRD IV and the EBA/ESMA Guidelines there are suitability requirements for the members of the Boards of Directors of investment firms and credit institutions.
In fact, the guidelines, which apply from 30 June 2018, specify the requirements regarding the suitability of members of the management body of credit institutions, investment firms, financial holding companies and mixed financial holding companies, so let’s take a brief look at what they are and what this means in practical terms.
Member of the management body – consider the notions of:
The management body – consider the notions of:
The selection of the management body – consider the notion of:
Other important aspects
A Hot issue
Dr Christina Livada is a Lecturer of commercial law at the Faculty of Law of the National and Kapodistrian University of Athens. Her main fields of specialization are company law, public and private banking and capital markets law, as well as consumer protection law. She is the author of several books and articles in the abovementioned fields. Christina Livada is working for the last fifteen years at the Hellenic Bank Association as a Special Legal Advisor (currently on a part-time basis), responsible for the regulatory issues pertaining to banking, capital markets and consumer protection law. She is a member of the corporate governance Working Group of the Hellenic Corporate Governance Council for the review of the Greek Corporate Governance Code. She is also member of the Hellenic Association of Banking and Capital Markets Law and responsible for the content of the scientific Review Financial Law. She obtained her PhD from the Faculty of Law of the National and Kapodistrian University of Athens in 2004.