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Spotlight on the Appointed Representative Regime:
How to implement a robust & resilient oversight process
Thursday 2nd November 2023 | 10.30am to 11.30am (GMT)
Principal firms are now under greater scrutiny from the regulator and need to ensure appropriate measures are taken to prevent harm to the consumer. During this session, we’ll help you with practical tips on how to demonstrate robust oversight of your Appointed Representatives.
Join our experts as we explore the following aspects of the Appointed Representatives Regime:
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What is the Appointed Representative (AR) Regime?
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How does this arrangement benefit both ARs and Principal firms?
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What's new for Principal firms and their ARs?
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How to manage regulatory expectations
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Getting to grips with your key responsibilities
Speakers
Priscilla Gaudoin
Head of Risk & Compliance
Priscilla is a certified compliance professional specialising in governance, risk management and compliance. With a career spanning 25+ years, she has previously worked as a consultant providing regulatory advice to firms from various FS sectors.
She has also held senior management roles as both a Chief Compliance Officer and MLRO.
Priscilla is a Fellow of the International Compliance Association and a member of the Chartered Institute of Securities and Investments.
Matthew Bruce
Platform Director
Matthew is our Platform Director and leads the development roadmap for the Ruleguard platform. He has 15+ years’ experience in software development and has worked on Ruleguard since launch.
Matthew plays a key role in delivering a programme of features and improvements that continue to delight users and deliver tangible business value. He’s passionate about product management that balances strategic and tactical objectives.