27th April 2023 | 10:30am – 11:30am

Client Asset protection remains a hot topic for both the FCA and the CBI. Both regulators seek to protect consumers from harm whether that’s from firms becoming insolvent or fraudulent activities. And in Ireland, firms must continue to meet their current client asset obligations whilst also preparing for impending changes from CAR 2022.

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In this month's session, we take you for a quick rundown of the follow areas:

• Client asset rules and objectives and how they may apply to you

• What regulators expect

• Client Asset pitfalls and how to avoid them

• How to be audit ready

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Corporate culture remains high on the regulatory agenda.  The FCA continues to focus on delivering the right outcomes to prevent harm to consumers and the wider market.  Join us as we look at cultural change and how SM&CR is helping industry.

 

In this month’s event, we consider the following areas:

• What is culture?

• Regulatory developments

• Current regulatory expectations

• How does SM&CR impact culture?

• What do firms need to do?

• How can Ruleguard help?

• Q&A

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We have just passed our first milestone in building a robust operationally resilient framework.

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During the transition period leading to the 31 March 2025, firms need to continue refining their frameworks to ensure that they can remain within the impact tolerances set.

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In this month’s event, we consider the following areas:

• Meeting regulatory expectations

• Important Business Services and Measuring Impact Tolerances

• Stress testing

• Communication processes

• Robust self-assessment

• Ruleguard's approach

We have just passed our first milestone in building a robust operationally resilient framework.

During the transition period leading to the 31 March 2025, firms need to continue refining their frameworks to ensure that they can remain within the impact tolerances set.

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In this month’s event, we consider the following areas:

• Meeting regulatory expectations

• Important Business Services and Measuring Impact Tolerances

• Stress testing

• Communication processes

• Robust self-assessment

• Ruleguards's approach

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Regulatory attention has recently focused on operational resilience giving it equal importance as financial resilience. Consequently, firms must have robust governance infrastructures and in a world where we’re able to conduct business globally, oversight of third-parties is vital.

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Key learning takeaways

• Demonstrating governance of your CASS requirements

• Oversight of third party arrangements

• Regulatory expectations

• Steps for Success

The new Operational Resilience requirements mean firms must reconsider how they respond and adapt to significant incidents. Firms need to take a holistic view and more importantly, the emphasis is upon planning for when risks do materialise.
 

With less than 6 months until the first stage of implementation, how can firms leverage their existing risk frameworks to build robust business services?

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We might define a successful business by its ability to meet its objectives.  However, firms won’t get very far unless they know their risks and manage them.  It requires effort from the whole business to understand the issues and take appropriation action.

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Key learning takeaways

• Challenges of implementing risk management programmes

• Risk ownership within your organisation

• Tips on improving risk management within your organisation

• Raising staff engagement throughout the business

2002 saw the Sarbanes-Oxley Act (SOX) introduced in the USA. Almost 20 years later we’re preparing for the UK’s version of SOX.

 

During the webinar we consider:

• The Proposed framework

• Vulnerabilities

• Regulatory Expectations

• Accountability

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Continuing with the theme of Operational Resilience, our next webinar will focus on managing third party risk.

 

Agenda items will include:

• Regulatory context

• Risks relating to third parties

• Challenges for firms

• Group considerations

• Other regulatory approaches

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It’s important for regulated firms to understand the requirements and act now in readiness for next March’s deadline.  This requires a robust program and coordination of efforts.

 

Main points that are covered are the following:

• Operational Resilience and why it matters

• Regulatory requirements

• Steps for successful implementation

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