Board and committees

The principle committees are the Board, and Executive, Audit, Nomination, Remuneration, Group Risk Committees. 

The Board has delegated full authority to the Group Executive Committee, subject to a list of matters which are reserved for the decision by the full Board. 

The other Board committees have formal terms of reference, which are reviewed and approved by the Board on an annual basis.

Overview of the board and committees

    Executive committee

    Executive Committee

    Ensuring the Board has effective oversight of the day-to-day management of the Group. Download the PDF overview
     

    Attended by:

    Paul Stockton (Chair)
    Andy Brodie

    Camilla Stowell
    Gaynor Gillespie
    Iain Hooley
    Ivo Darnley
    Jayne Rogers
    Jonathan Sorrell
    Sarah Owen-Jones
    Simonetta Rigo
    Tony Overy

    Board

    Board

    Providing leadership and ensuring the Company is appropriately managed to deliver long-term shareholder value and contribute to wider society. Download the PDF overview
     

    Attended by:

    Clive Bannister (Chair)
    Dharmash Mistry
    Henrietta Buldock
    Iain Cummings
    Iain Hooley
    Jonathan Sorrell
    Paul Stockton
    Ruth Leas
    Sarah Gentleman (SID)
    Terri Duhon

    Download terms of reference
    Audit committee

    Audit Committee

    Ensuring the Board has effective oversight in the monitoring of the Group’s financial control systems and disclosures, whistle-blowing arrangements, internal and external audit support. Download the PDF overview

     

    Attended by:

    Iain Cummings (Chair)
    Dharmash Mistry
    Sarah Gentleman (SID)
    Terri Duhon

    Download terms of reference Download internal audit charter
    Nomination committee

    Nomination Committee

    Ensuring the Board and Executive have the right leadership with the appropriate skills to deliver on our strategic objectives. Download the PDF overview
     

    Attended by:

    Clive Bannister (Chair)
    Dharmash Mistry
    Iain Cummings
    Sarah Gentleman (SID)
    Terri Duhon

    Download terms of reference
    Remuneration committee

    Renumeration Committee

    Assisting the Board with oversight of remuneration and policy. Download the PDF overview
     

    Attended by:

    Dharmash Mistry (Chair)
    Clive Bannister
    Iain Cummings
    Sarah Gentleman (SID)
    Terri Duhon

    Download terms of reference
    Group risk committee

    Group Risk Committee

    Providing the Board with oversights and advice in relation to risk management within the Group. Download the PDF overview
     

    Attended by:

    Terri Duhon (Chair)
    Clive Bannister
    Dharmash Mistry
    Iain Cummings
    Sarah Gentleman (SID)

    Download terms of reference

    Explore the different roles within the Board

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    Chair

    • Leads the Board and sets the agenda for board discussions
    • Ensures the Board’s effectiveness
    • Agrees and sets the firm’s business strategy and management objectives
    • Encourages the presentation of accurate, clear and timely information
    • Promotes effective and constructive discussion
    • Chairs the Nomination Committee, which considers the composition of the board and its succession plans
    • Evaluates the performance of the Board, its committees and individual directors on an annual basis

    Senior independent director

    • Acts as a sounding board for the Chair and an intermediary for the other directors
    • Holds meetings with the non-executive directors  (without the chairman present)
    • Available to meet with a range of major shareholders
    • Develops a balanced understanding of shareholder issues and reports the outcome of any meetings to the Board
    • Leads the Board in the ongoing monitoring and annual  performance evaluation of the chairman

    Non-executive directors

    • Constructively challenge management  performance and strategy
    • Contribute to group-wide strategy
    • Provide independent judgement to the Board
    • Review group financial information
    • Ensure internal controls and risk management  framework are appropriate and effective
    • Engage with key stakeholders
    • Review succession plans for the board and key  senior management

    Board induction programme

    How we welcome new board members

    Board development

    The firm is committed to the training and development of all employees to ensure professional standards are maintained and enhanced. 

    • Director’s training needs are assessed in the board evaluation process

    • Non-Executive Director’s have full access to senior management, in-person visits to teams in London, Glasgow and Liverpool offices and virtual events across the UK

       

    The company secretary assists with the board’s professional development. The board also receives mandatory annual training on:

    • Client Assets and Money (CASS)
    • Securities and Exchange Commission (SEC) obligations
    • Internal Capital and Liquidity Adequacy Assessment Processes
    • Internal Capital and Risk Assessment (ICARA).

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