Governance · GOV01
Board and Senior Management Accountability in Fund Firms
Practical governance for directors and senior managers overseeing investment, conduct, risk, operations, outsourcing and regulatory obligations.
Designed for practical application.
Practical governance for directors and senior managers overseeing investment, conduct, risk, operations, outsourcing and regulatory obligations.
What you will be able to do
- Distinguish oversight from day-to-day management.
- Challenge management information and control effectiveness.
- Document decisions, escalation and remediation.
Course structure
01
Governance roles and accountability
02
Risk appetite and control environment
03
Delegation and oversight
04
Management information and challenge
05
Incidents, breaches and remediation
06
Board records and regulatory engagement
Assessment and evidence
ASSESSMENT
Board-case assessment; proposed pass mark 70%.
LEARNING EVIDENCE
Completion record and certificate.
GOV01
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