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Join us for an interactive discussion on the key practical learnings that can be gleaned from the recent enforcement cases in Guernsey and Jersey.
We will look at public statements to identify what actions you can take and what measures you can apply in your role and in your firm.
During this session you will cover:
This course has been designed to give a practical overview in the area of regulatory enforcement to ensure that your knowledge is up-to-date with the latest action and trends and to ensure that your policies and procedures are current in light of any such action. This course is for individuals who are holding supervised roles or who are looking to move into a supervised role or those holding director or non-executive director roles in relation to supervised entities.
Dawn Sealey has over 20 years experience in financial regulation and compliance, with a particular focus on Investment and Fiduciary firms. Prior to joining Advisory Services (Guernsey) Limited Dawn spent 17 years at the Guernsey Financial Services Commission, most recently as Assistant Director within the Policy Team. Dawn also led the PRISM Low Impact Team within the Investment, Fiduciary and Pension Division for a number of years and held a variety of roles throughout her career at the GFSC, including Assistant Director within the Authorisations Division. Previously Dawn has worked in compliance for an FCA authorised UK Asset Management Firm with responsibility for five branches within England and Scotland. Dawn has a keen interest in ESG and has completed the Oxford Leading Sustainable Corporations Programme. She is a member of the Sustainable Finance Guernsey Council and Chairs their Education sub-committee.
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Take your career to the next level with higher education that works for you