The Securities Houses Compliance Officers Group is a non-profit making organisation set up following the enactment of the Financial Services Act in 1986.  It is a self-help educational group, organised "by Compliance - for Compliance".

 

Objectives

The primary objectives of SHCOG are as follows:-

  • to provide a forum for further education and training of compliance officers within the securities industry in the UK;

  • to foster networking between compliance officers from different firms and countries.

Members

The group has a membership of over 100 firms which are predominantly FCA / PRA regulated investment banks and securities houses.

Governance

The governance of SHCOG is conducted by a Steering Committee made up of senior industry practioners. This meets every month or so, to plan future activities. They are assisted by the Business Manager, Georgina Hickleton.

 

Events

The European Compliance Conference

TECC was initiated in Paris in 2000 and has grown in stature to become, arguably, Europe’s leading international conference for Compliance Professionals.  Since 2000 the conference has been held in Berlin, Amsterdam, Lucerne, Brussels, Milan, Madrid, Copenhagen, Dublin, Vienna, Budapest, Lisbon, Istanbul, Barcelona, London, Rome and Warsaw.

Monthly Meetings

Each month SHCOG meets for a short presentation and discussion of topical compliance issues. Expert lawyers, senior industry executives and directors from the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) are regular contributors to these meetings.

UK & US Regulations

From time to time SHCOG organises conferences on UK and US Regulations.  Only Compliance Professionals are invited to these events so they make excellent educational and networking opportunities.

 

The Groups Constitution can be found here