Corporate Governance and Minuting of Difficult Situations in the Financial Sector

Description

This webinar will provide practical guidance on corporate governance and the minuting of challenging situations within the financial sector. It will cover techniques for accurately capturing discussion, challenge, and scrutiny in board minutes, including tone, format, and legal considerations. Attendees will also explore real-world case studies involving conflicts of interest, dissenting views, SAR decisions, and crisis management, with insights drawn from regulatory feedback and lessons from governance failings.

 

Content 

  • Minuting Techniques for Challenging Situations

    • Corporate Governance and Board minutes: transparency, accountability and regulatory scrutiny

    • What is meant by “Discussion, Challenge and Scrutiny and how is it effectively captured?

    • Style, tone and format of formal minutes

    • What to include and exclude – balancing clarity with legal prudence

    • Capturing board dynamics (e.g. dissenting views, abstentions, regulatory considerations)

 

  • Difficult Governance Scenarios – practical case studies

    • Identifying and navigating conflicts of interest

    • Handling dissent and boardroom disagreement

    • Governance around SAR decisions and refusal of business relationships

    • Crisis management and responding to regulatory breaches

    • Escalation and challenge: creating a culture of accountability

    • Case studies: failures of oversight and their consequences

 

Presenter

Jo French

Expert Trainer at the School of International Financial Services

Jo French 

Jo, through her company JETT Limited, specialises in developing contemporary bespoke, technical in-house CPD programmes covering a range of AML, compliance and governance issues. She has over 25 years’ experience in delivering credible training to a wide range of financial service businesses both in the Crown Dependencies and internationally, as well as institutions that include the BBA, the ACSP in the Isle of Man, Guernsey Training Agency and the Jersey International Business School where her role also extended to delivering on Buckingham University’s BSc (Hons) in International Financial Services degree as part of their faculty. 

In addition, she has taught on the International Compliance Association’s full range of AML and compliance qualifications since 2005, and as a Fellow of the Governance Institute (formally ICSA) written and delivered across both level 4&5 Certificate and Diploma, as well as the qualifying scheme, (subjects include Corporate Governance, Risk Management, Boardroom Dynamics, Company Law and Company Compliance and Administration.) Jo’s ICSA students have won many international prizes, most recently in Trust and Company Administration in May 2021, and CORE in the  November 2021 exams. 

A committed educationalist, Jo has a First Class Law Degree (LLB) and Masters in Law (LLM) (Merit) from Queen Mary University of London specialising in financial services law. She is passionate about the delivery of accessible and innovative training courses.