Short Video Series for Financial Services Boards

Short Video Series for Financial Services Boards

Resources to support Financial Services boards

Six ways to avoid upsetting your regulator

Boards of Financial Services companies can feel like they are walking a tightrope. How do you ensure your governance provides genuine value for the management and the business, at the same time as providing the regulator and other stakeholders (most obviously parent companies) with the reassurance they need?

Sometimes those two aims can appear to conflict. That’s why our co-founder Jonathan Hayward and associate Lisa Scott produced this series of five-minute conversations about key areas of tension, combining Jonathan’s decades of experience as a board reviewer with Lisa’s insight at the regulator. We have made the whole series available below to make them easy to share within your organisation.

      1. Board minutes: how should challenge be captured?
      2. Timing of papers: how does the regulator respond to late papers?
      3. Culture and inclusivity: what culture is the regulator looking for?
      4. Strategy and business model: why are they so crucial?
      5. Focus and prioritisation: how can regulatory needs be balanced with running the business?
      6. Board composition: why does it matter?

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