Agenda

for Board meeting to be held on 15/12/2011

OPEN SESSION

1. Apologies for Absence
2. Members' Interests
   • To note the Register of Members' Interests and to hear any declarations of potential conflicts of interest for the items below.

STANDING ITEMS

3. Minutes
   • To approve the minutes of the meeting of 22 September 2011
4. Matters Arising
   • No matters arising have been notified in advance of the meeting
5. Chairman's Report
   • To hear a report on matters relating to the conduct of the Board’s business
6. Registrar's Report
   • To note a report on matters relating to the running of the Board’s business
7. Management Accounts 2011
   • To note the management accounts to 31 August 2011 and year-end forecast.
   • Cover Paper
   • Annex A

MATTERS FOR DECISION

8. Prescribed Examination Procedures
   • To agree changes to the prescribed examination procedures.
   • Annex 1
   • Annex 2
   • Annex 3
9. Fraud and Bribery Policy
   • Draft Fraud and Bribery Policy
10. Revisions to ARB’s General Rules
    • Cover Paper
    • Annex A
    • Annex B
    • Annex C
11. Distinguished Achievement Route to Registration
    • Cover Paper
    • Annex 1
    • Annex 2
    • Annex 3
12. Investment Broker Terms and Conditions and Operating Signatories

13. Equality Scheme

    Following consultation, to agree the Equality Scheme.

    • Cover Paper
    • Appendix A
    • Appendix B

MATTERS FOR NOTE

14. Qualifications Department’s Annual Report
    • Annex A
15. Timetable for Board Chair and Vice Chair Election
16. To note the minutes of:
    1. The Audit Committee meeting of 3 November 2011
    2. The Investigations Committee meeting of 20 September and 28 October2011
17. Any other business
    • To raise any other business (members are asked to notify the Registrar by 10.00am on 12 December 2011 of any points they wish to raise).
18. Dates of Meetings 2012
    • Friday 24 February
      Friday 11 May
      Friday 20 July
      Thursday 20 September
      Thursday 22 November