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Compliance Issues in Green Investing and Sustainable Finance

Helping to Demonstrate Sustainability Compliance

Compliance Issues in Green Investing and Sustainable Finance Course

A half-day live webinar

The session is designed for those working in authorised financial services firms and features UK and EU regulation. Second- and third-line staff who are advising risk owners or evaluating systems and controls in place to meet emerging sustainability requirements will find this webinar valuable in ensuring appropriate development and implementation of an appropriate risk and compliance framework.

  • We are well aware how FCA expectations have changed alongside the best practice and mandatory updates.
  • We have served clients of all shapes and sizes in the financial sector and are fully aware of the obligations of a regulated firm and what is expected from them by the regulator.
  • We have been delivering training for over 20 years. We are certain we know the topic as well as anyone in the marketplace
  • Your course director is experienced as both a regulator and in training regulatory requirements across wholesale and retail financial firms. He will pass on past experiences to enhance the workshop and help bring it to life
  • We do not use academics. All our trainers are highly experienced professionals with relevant vocational experience in the real world
  • Our case studies enhance the learning points and are often found to be essential in truly understanding the requirements and growing the skills to apply them
  • We are always judged by our results which speak for themselves and the feedback received from previous delegates has always been excellent.

  • Recognise external drivers influencing our approach to sustainable finance compliance
  • To understand the impact on governance and strategy
  • How we can organise ourselves effectively to meet the needs of all our stakeholders
  • Consider underlying impacts of our investment and business decisions
  • Recognise upstream and downstream environmental impacts of our business and reconcile that with our stated values
  • Revisit our risk framework through a green lens
  • Reconsider how we measure and stretch our businesses
  • Understand the evolving disclosure regime

Session 1: Introduction – the regulatory position

  • FCA Workstreams
  • The Sustainable Finance Disclosure Regulation (SFDR)
  • Sustainable Finance Taskforce - IOSCO
  • Building back better
  • Government commitment to net zero 2050
  • Transparency, Trust, Tools 

Session 2: Governance & Strategy

  • Describe the organization’s governance around climate-related risks and opportunities.
  • Describe management’s role in assessing and managing climate-related risks and opportunities.
  • Declare and halt your negative impact
  • Identify and assess the climate-related risks and opportunities you have identified over the short, medium, and long term.
  • Embedding an understanding of the impact of climate-related risks and opportunities on the organisation’s businesses, strategy, and financial planning.
  • Evolving client priorities
  • All-stakeholder consideration / involvement
  • Strategy resiliency: the resilience of the organisation’s strategy, taking into consideration different climate-related scenarios
  • Engagement Risk (Preparing for the Minsky Moment)
  • Scenario Analysis 

Session 3: Investment Universe

  • Promoting good disclosures along the investment chain.
  • Investor stewardship
  • Ensuring that the market delivers sustainable finance instruments and products that genuinely meet investors’ sustainability preferences. Seize new opportunities.
  • Richard Monks – “five guiding principles”
  • “FCA tells asset managers to challenge companies on climate” (Shareholder Impact)
  • Greenwashing – standards to defend your position
  • “Light green” products
  • Transition risk - stranded assets
Exercise – three companies you’re considering investing in – what are the risks?  

Session 4: Risk Management

  • Understanding and minimising your risks – including physical risks and associated impacts
  • De-centralising the organization’s processes for identifying and assessing climate-related risks.
  • Standardising the organization’s processes for managing climate-related risks.
  • How do processes for identifying, assessing, and managing climate-related risks are integrated into the organization’s overall risk management.
  • Internal risks (procurement, property, plant)
  • 3rd party risks (vendors, outsourced providers, associated persons, manufacturers/distributors) 

Session 5: Metrics and Targets

  • Designing and embedding the metrics used by the organization to assess climate-related risks and opportunities in line with its strategy and risk management process.
  • Identify and control Scope 1, Scope 2 and, if appropriate, Scope 3 greenhouse gas (Greenhouse Gas Protocol) emissions and the related risks.
  • Data integrity in an evolving environment
  • Maintaining the targets used by the organization to manage climate-related risks and opportunities
  • Reporting performance against targets.
  Session 6: Financial Reporting and Disclosure
  • Climate-related disclosures – Task Force on Climate-related Financial Disclosure standards
  • Mandatory TCFD-aligned disclosures
  • 7 principles for effective disclosure
  • UK listed commercial companies with a premium listing
  • FCA disclosure regime for ESG matters
  • International reporting standards
Exercise: Map relevant compliance risks in a regulated firm / share with group  

Course Wrap-up:

  • Summary
  • Questions
  • Open forum

With over 20 years of training experience in financial services, the trainer is well placed to support you across a range of compliance-related topics.  He is a former Head of Education for HSBC covering the UK and Europe, responsible for regulatory and financial crime-related compliance learning.  His time at HSBC was during intense scrutiny from regulators and government functions during the bank’s Deferred Prosecution Agreement.

Other roles include leading the Monitoring and Testing programme for a UK Wealth Manager, and Senior Vice President responsible for Global Risk & Compliance training at a US-based bank.  He also worked in the Insurance Firms division at the Financial Conduct Authority (in the FSA days) where he was the divisional expert for the rules and outcomes required under the Training & Competence handbook.

The HSBC role, along with five years at Barclays in their Private Clients and Wealth functions, has seen him work with retail, commercial, wholesale and private banking channels.  Since leaving HSBC, he has worked with the compliance, HR and operational teams of firms to enhance their regulatory understanding, as well as delivering content across private equity firms, investment houses, banks and wealth managers.  He regularly delivers core programmes for TISA and the Investment Association.

The trainer is a former member of the Investment Management Association Training & Education Committee and won the Thomson Reuters award for “Most Effective Compliance Training at a Regulated Firm” in 2010.

The greatest commercial opportunity of all time.”

Mark Carney, former Governor of the Bank of England and UN Special Envoy: Climate Action and Finance

Within our industry, we have to choose between being a force for good or a force for greed.  While firms will want to provide products and services their clients want, as well as a better world to live in along the way, there is a risk.  Some firms will inadvertently misrepresent the green credentials of their products to clients (and some may do so deliberately).  Some firms will find the impact of their own commitments being curtailed by the behaviours of third parties working with them, or by different functions within the organisation progressing their sustainability programme in different ways or at a different pace.

Governments and Regulators want financial services firms to play their role in this new world while at the same time being wary of emerging threats to consumer protection, market integrity or competition in the marketplace.  Rules and regulation seek to control this risk and set expectations of conduct.  The compliance function needs to be able to advise and assist the firm on what the rules require, and to monitor and assess what their colleagues have put in place.

This course looks at these emerging requirements from a Compliance perspective.  How do we evidence knowledge and competence?  What governance do we have and how do we know its effective?  How do we understand external risks that impact us, our reporting, our reputation and our own compliance?


Who should Attend?

The session is designed for those working in authorised financial services firms and features UK and EU regulation.  Second- and third-line staff who are advising risk owners or evaluating systems and controls in place to meet emerging sustainability requirements will find this webinar valuable in ensuring appropriate development and implementation of an appropriate risk and compliance framework.

  • It was a very interesting course and good to attend, I have certainly picked up several interesting bits of information
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