Thoughts about the regulatory options for your business; focussing in particular on where the different licences intersect and where the ultimate responsibility for regulatory compliance with licence terms falls. Are you a fiduciary, a POI licence holder or should you be both? Are your subsidiaries caught by the Non-FSB rules?

A forum on procedural fairness and natural justice in administrative decision-making. This seminar will focus on the administrative decisions taken by financial regulators, but is applicable to an audience outside the financial services industry. The concept of procedural fairness in administrative decision making is relevant to a number of bodies we all have cause to deal with such as the planning department, education department and the like.  

In this final session of the year we will address any issues that have arisen throughout the year. We will also call for questions to be submitted to the panel in advance for the team to prepare and deliver solutions to your live issues.