Training Objectives

By attending this programme participants will attain vital knowledge for their roles through: 

• Introducing the legal and regulatory context within which a Board of Directors functions 
• Understanding the expectations on the Board of Directors resulting for the legal and regulatory context 
• Reviewing select guidelines further describing the legal and regulatory requirements 
• Reference to benchmark governance code for illustration of practical implications 

Training Outline

• Corporate Governance for the BoD 
• The roles and responsibilities of the BoD based on Investment Firms Law 
• Guidelines and best practices (e.g. Fit & Proper, Suitability etc.) 
• Management expectations 
• Meeting Requirements 
• Directors and Officers Liabilities
• Characteristics of High-Performing Boards

Who Should Attend

• Members of the BoD of Investment Firms (IFs) and Fund Managers 
• Compliance Officers and Risk Managers of Investment Firms 
• Fiduciary Service Providers with IF clients 
• Consultants and Advisors 

Training Style

Critical information will be conveyed, with the opportunity for participants to share their experience of serving on – or supporting –Boards for mutual erudition. 

CPD Recognition

This programme may be approved for up to 6 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

In-house Training

For groups within the same organisation, this course may be customized to meet any specific needs and delivered in-house.