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Conduct of Business Regulation in a retail context by Latha Balakrishnan

Ms Latha Balakrishnan will be delivering a guest lecture for students taking the Governance and Compliance in Financial Services module, MSc Capital Markets, Regulation and Compliance.The guest lecture will take place on Tuesday 17th March, 4-6 pm at the ICMA Centre.

The lecture is also suitable for those interested in financial regulation more generally. Ms Balakrishnan will be covering the topic 'Conduct of Business Regulation in a retail context'. She will cover concepts such as suitability, financial promotions and treating customers fairly during this lecture.

Latha is a senior executive with broad commercial, banking, Compliance and regulatory skills built up over many years through experience in retail, wholesale and commercial banking, Operations, Internal Audit, project management and Compliance.

She has worked in a number of countries with global banks including HSBC, Barclays and Standard Chartered, particularly in the area of Compliance where she held senior positions including delivering a global compliance risk management framework. During her tenure with the UK financial services regulator (the FSA and then the FCA) she gained cross-industry experience through her involvement in a number of prudential, conduct and governance areas of supervision of large global banks.

She has a proven track record of leading global teams in a diverse and cross cultural environment with a solid international background, having lived and worked in a number of countries across the Middle East, South Asia, the far East and in the UK.

Latha is currently Director, Compliance at the British Business Bank, the UK government’s first development bank for small and medium sized business enterprises where she is responsible for setting up the Compliance function.

Published 15 March 2015

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