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As the Regulators move to Individual Responsibility for Internal Governance - What's at Stake?


Governor Software Canapes&Conversation

 

Join Governor Software, CastleHill and guest speaker Dessa Glasser, Principal at the Financial Risk Group and Independent Board Member at Oppenheimer Holdings Inc for canape’s, cocktails and conversation from 6pm, 12 September, 5th Avenue, New York.

 

Over the past few years, financial regulators have come to the conclusion that corporate fines for specific regulatory breaches are not enough to change behaviours in regulated firms. They are now focusing on two specific things:

  • Individual accountability
  • Internal governance

 

In order to stay out of trouble in this new regime, senior managers at firms need to do two things:

  • Be clear on those areas of the business for which they are accountable and responsible
  • Have excellent oversight of those areas and evidence of that oversight

Despite having a wealth of systems and data, gaining that aggregated & actionable oversight remains truly challenging.

 

Email suzi.mutch@governorsoftware.com  to register to join CastleHill and Governor Software for a drink and a bite to eat from 6pm on 12 September, 2018, and find out how risk and compliance executives can help their senior managers to achieve their goal leveraging the power of RSA Archer & Governor Software.