Supervisory Board
in a Financial Company:
Current Requirements
Target group:
- Newly appointed members of the Supervisory Board: Individuals who have recently been appointed to the Supervisory Board and wish to prepare for the specific requirements and challenges of their oversight function.
- Experienced Supervisory Board members: Long-standing members of the Supervisory Board who want to update their expertise and learn about the latest developments and best practices in the field of corporate supervision.
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Program:
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Audit-proof supervisory board work: Create an audit-resistant structure for proactive supervisory board management.
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Regulatory Update: Stay up-to-date to ensure compliance and mitigate legal risks.
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The S+P Tool Box:
Presentations as PDF: For quick reference and refresh of the seminar content, we offer compact PDF documents for the presentations. These documents will help you to deepen what you have learned at any time.
S+P Cockpit Supervisory Board:
- Practical instructions support you in the effective implementation of your tasks as a supervisory board member
- Legal basis and current legislative changes: With the S+P Working Papers, you get a clear summary of all relevant basics.
Practical learning for your everyday work: Successful examples, immediate application
Corporate governance in a financial company
- In this case study, participants will gain deep insights into the challenges and opportunities of an effective corporate governance framework in the dynamic world of regulated entities and gain valuable knowledge on how to proactively contribute to strengthening the corporate structure and ensuring the interests of all stakeholders.
ESG (Environmental, Social, Governance)
- ESG integration into investment strategy – Through this case study, participants will gain in-depth knowledge of how to implement ESG criteria in investment decisions and learn how to use sustainability criteria to enhance the company’s long-term performance and reputation.
Compliance incident
- Dealing with compliance incidents – This case study provides participants with key insights into the mechanisms of crisis management after a compliance incident and gains practical knowledge on how to implement effective mitigation and trust measures.
Program
Are you ready to optimally shape your role on the supervisory board of a financial company and master the specific challenges of this position? Our seminar “Supervisory Board at Financial Companies” offers you a comprehensive insight into the essential tasks and obligations under the German Banking Act (KWG), the Payment Services Supervision Act (ZAG) and the Securities Institutions Act (WpIG).
You will learn how to prepare for your new task and what you need to consider when doing your job. In this seminar, you will not only learn the theoretical basics, but also receive valuable tips and practice-oriented strategies to successfully fulfill your monitoring function.
This seminar is just right for you if you are interested in working on the supervisory board or are already working on a supervisory board and would like to update your specialist knowledge. Take the first step towards mastering your tasks on the supervisory board with competence and confidence, and discover how you can make a decisive contribution to successful corporate management.
Audit-proof organisation of the work of the Supervisory Board
- Strategic business and risk analysis: Deepen your understanding of the business model and the risk landscape in accordance with the KWG, ZAG and WpIG.
- Regulatory KPIs: Overview of the essential key figures for company monitoring and control.
Your benefit: Ensure methodological excellence in supervisory board work by creating audit-proof and effective structures that meet regulatory requirements.
Proactive supervisory board activity: Recognize when active intervention is required
- Active role of the Supervisory Board: Control obligations in the Articles of Association and Supervisory Board Rules and the correct evaluation of reports by the auditor.
- Liability risks and their avoidance: Understanding internal and external liability and using the Business Judgement Rule to limit risk.
Your benefit: Clarity about the situations in which your proactive involvement as a supervisory board member is required in order to be able to make timely and effective decisions.
Regulatory Updates for the Supervisory Board
- MaRisk 7.0 and ESG in focus: Find out about the latest regulatory developments and ESG requirements.
- IT governance: Understand the impact of DORA on your business.
Your benefit: Stay up to date with the latest regulations to ensure compliance and minimize legal risks.
Effective Risk Management and Compliance for Financial Boards
Aim of the seminar:
The seminar “S+P Seminar Supervisory Board in the Financial Enterprise: Current Requirements” aims to provide supervisory boards and executives in the financial sector with comprehensive knowledge of the latest regulatory requirements, best practices and strategic challenges.
Learn how to meet the high demands as a member of the Supervisory Board and lead your company safely and successfully through complex regulatory landscapes. The seminar offers in-depth insights into current developments and practice-oriented solutions to maximize the efficiency and effectiveness of your supervisory function.
You will learn:
- Regulatory requirements and compliance: Gain in-depth knowledge of the latest legal requirements and regulatory requirements relevant to supervisory boards in the financial sector. Understand how to effectively manage compliance risks and ensure your organization is always compliant.
- Risk management and internal control systems: Learn the principles of robust risk management and the importance of effective internal control systems. Analyze how to develop and implement risk management strategies to minimize financial and operational risks and ensure the long-term stability of your business.
- Corporate governance and supervisory duties: Discover the central aspects of corporate governance and the specific supervisory duties of supervisory boards. Learn how to optimally exercise your control and advisory function as a supervisory board member in order to ensure transparent and responsible corporate management.
- Strategic challenges and decision-making: Learn how to identify and overcome strategic challenges in the financial sector. Develop skills for informed decision-making and learn how to actively shape the strategic direction of your company to promote sustainable growth and competitiveness.
- Real-world case studies and best practices: Learn from real-world case studies and success stories about how other financial companies have overcome current challenges. Identify best practices and apply them to your own company to increase the efficiency and effectiveness of your board.
This seminar offers you not only theoretical knowledge, but also practice-oriented tools and strategies for implementing the current requirements in the supervisory board of your financial company. Discover how you can ensure compliance, minimize risks and successfully shape the strategic direction of your company through targeted action.
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FAQ – What do I need to know?
The aim of the S+P seminars for supervisory boards is to prepare prospective and existing supervisory board members for their role with practical knowledge and theoretical principles. Participants learn how to make strategic decisions, assess risks and recognise opportunities. The seminars, led by industry experts, offer up-to-date insights into corporate management and facilitate dialogue and networking with other supervisory board members.
The S+P seminars for supervisory boards cover various core topics, including the tasks of a supervisory board, a regulatory update specifically for supervisory boards, the use of annual financial statements as an information tool and the recognition and monitoring of risks and hidden losses.
The seminars for the supervisory board are specially designed to appeal to a broad target group. They are ideal for newly appointed supervisory and administrative board members who want to familiarise themselves with the basics and requirements of their new role. At the same time, they are also valuable for experienced supervisory board members who want to refresh their knowledge and familiarise themselves with the latest developments and trends in their field. The seminars therefore offer both a solid introduction and a comprehensive update for anyone in the role of supervisory board member.
To register for an S+P seminar for the Supervisory Board, simply visit our website. Select the seminar you would like to attend and complete the online registration form provided. Once you have submitted the form, our team will complete the registration process for you. It is therefore an uncomplicated and direct way to enrol for our seminars.
The S+P Tool Box is not just an exclusive area, but a valuable instrument for every supervisory board member who wants to deepen their knowledge and put it into practice. As a seminar participant, you will receive access to a variety of specialised work aids, toolkits and materials that are perfectly tailored to the requirements and individual needs of a supervisory board. This access enables you to put the knowledge you acquire in the seminar into practice immediately and ensures that you are well equipped to fulfil your responsibilities as a supervisory board member. In short, the S+P Tool Box provides you with everything you need to act effectively, informed and prepared.
How are regulatory requirements implemented?
In the dynamic environment of the financial sector, supervisory boards are required to constantly meet new regulatory requirements. Compliance with regulations such as MiFID II, Basel III and the GDPR ensures that financial institutions remain stable and trustworthy. Supervisory board members must therefore continuously educate themselves in order to understand legal changes and monitor their implementation in the company. This means not only adhering to regulations, but also establishing effective compliance programs and internal control systems that identify and minimize risks at an early stage.
How does strategic decision-making in risk management take place?
A key aspect of supervisory board work in the financial sector is strategic decision-making. Supervisory boards must keep an eye on the long-term orientation of the company and ensure balanced risk management. This includes assessing market developments, identifying opportunities, and assessing potential risks. By using modern analytical tools and working with experienced risk managers, supervisory boards can make informed decisions that keep the company on a stable and sustainable growth path.
