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Conduct, Ethics and Vulnerable customers

Tue, Oct 12, 2021 · 9:30 AM · London
About This Webinar

The topic of vulnerable customers is an area of increasing focus for financial regulators. For example, according to the UK’s Financial Conduct Authority (FCA), 27.7 million UK adults (more than half of the population) have characteristics of financial vulnerability – a problem exacerbated by the COVID crisis – and the regulator has recently made proposals for a new duty of care on firms about consumers.

This webinar will discuss changing regulatory expectations around ‘treating customers fairly’ and the shift in the conduct agenda towards ‘outcomes’ and ‘purpose’, highlighting measures that compliance officers must take to keep abreast of this evolving agenda to ensure their businesses remain compliant.

Who can view: Everyone
Webinar Price: Free
Featured Presenters
Webinar hosting presenter
Head of Regulatory Compliance
Jonathan is responsible for all of the Compliance programmes. Having twenty five years of financial services industry experience, holding senior Compliance roles for the last fifteen of these, Jonathan has a wealth of practical compliance experience.

With an MBA from Henley Business School and a Diploma in Management from Reading University, Jonathan is also highly qualified in business management and is therefore able to place governance, risk and compliance management within the context of wider corporate strategy.
Webinar hosting presenter
Gail Wessels has worked in financial services for more than 20 years. She uses her blend of cross functional skills in legal, banking, technology, governance, risk and compliance, combined with practical experience as a senior manager, to offer advisory and training services that assist in building effective compliance programmes.
Some of the projects that Gail has been involved with include setting up a governance and control framework for outsourced functions in an investment bank, establishing a KYC managed service and utility and leading an initiative to embed an AML compliance culture across a tier 1 bank. She has also been part of a large-scale technology programme team which implemented the IT infrastructure for a new digital bank.
Gail is a fellow member of the ICA (International Compliance Association).
Webinar hosting presenter
Head of Compliance, Telefónica UK Limited
Lance is the Head of Compliance at O2 (Telefonica UK) and has recently become a Fellow of the International Compliance Association.

Lance has over twenty five years financial leadership experience at both O2 and previously at Barclays Bank where he was a Director in the Retail Banking Division.

Having held leadership roles in both frontline and compliance teams Lance offers a unique insight on developing ethical performance cultures and practical steps in building effective compliance frameworks
Webinar hosting presenter
Chief, Compliance
Dr. Srinivas Yanamandra is currently working as the Chief, Compliance at the New Development Bank established by BRICS countries (Brazil, Russia, India, China and South Africa) and Head-quartered in Shanghai. Srinivas has around 20 years of experience as a compliance officer with hands-on expertise relating to various aspects of banking regulation (such as governance, risk management, prudential reporting, risk-based supervision, digital banking, fintech regulation and financial crime compliance).
On professional front, Srinivas is a qualified accountant (Chartered Accountant and Cost & Management Accountant with national ranks in all academic examinations1), a Fellow of International Compliance Association (UK), and a Certified Anti Money Laundering Specialist (USA). He holds a doctorate degree (2013) from the University of Manchester, UK with research interests spanning across topics relating to monetary policy, financial instability, regulatory reforms and bank governance. Further, as a visiting fellow at University of Cambridge Institute for Sustainability Leadership (CISL), UK, Srinivas is currently exploring the role of financial regulation in promoting sustainable infrastructure in BRICS cities.
Srinivas was the recipient of “CA Global Achiever Award 2019” from the Institute of Chartered Accountant of India. He delivers guest lectures regularly at business schools (such as the Zhejiang University International Business School (Shanghai), Xian Jiao Tong Liverpool University (Suzhou), Shanghai National Accounting Institute (Shanghai), Regenesys Business School (Johannesburg), Indian School of Business (Hyderabad) and NALSAR University of Law (Hyderabad)). He is a TedX speaker and further shares his insights at forums organized by financial institutions, consulate offices, and at professional networking events.
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