Governance for Regulators

Below are sections of SML’s “Governance for Regulators: A Handbook for Board and Committee Members”, released in July of 2020. For a PDF copy of the handbook, click here.

Please note that the information contained in Governance for Regulators is not intended to be legal advice and is not intended to be acted upon. The information contained herein is intended for general information and educational purposes only.

1. Introduction
          a. Context: What Does A Regulator Do?
          b. Context: What Does A Board Do?
2. Governance: Concept and Purpose
3. Setting the Mission, Goals and Strategies
          a. Developing Policies
4. Selection of Board, Committees and Staff
5. Fiduciary Obligations
          a. Conflicts of Interest
          b. Confidentiality
          c. Conduct Unbecoming
          d. Diligence
          e. Respect
6. Roles
          a. Purpose of Roles
          b. Board Role
          c. Individual Board Member Role
          d. President / Chair Role
          e. Committee Role
          f. Committee Chair Role
          g. CEO Role
          h. Role Achievement
7. Conclusion

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