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Why this, why now Their conduct. Your liability. Principals remain responsible for what their appointed representatives do, and the regime around them is shifting. HM Treasury has consulted on the most significant changes to the AR regime in decades, and the bar for...
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Why this, why now Supervisory attention has moved. Has your board? Consumer Duty has moved from implementation project to business as usual, and supervisory attention has moved with it. Boards are now expected to show, with evidence, that the Duty shapes decisions and...
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Why this, why now Documented is not the same as evidenced. Operational risk is back in the regulatory spotlight, and firms can no longer treat it as a background concern. Supervisors on both sides of the Channel want to see a framework that works in practice, not one...
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This webinar is for compliance, risk and resilience leaders at banks, insurers, pension providers, hedge funds, asset and wealth managers, e-money and payment firms, and other FCA-regulated businesses. If you own or influence third-party and supplier oversight, and...
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Replace Manual PA Dealing Processes Managing Personal Account Dealing through spreadsheets and email creates unnecessary risk, delays and administration.
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Tune into our on demand webinar with Ruleguard, as we explore the current market abuse landscape, examine emerging regulatory priorities, and discuss how firms can strengthen their approach to protecting market integrity in an increasingly complex environment. This...
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Compliance monitoring software for regulated firms Move away from spreadsheets and disconnected compliance processes.
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This session is for leaders and risk professionals on how ethical and conflict-of-interest issues really surface under pressure, with limited time, and when the “right” answer isn’t obvious. You’ll leave with practical ways to spot early warning signals, respond with...
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About the session Tune in on demand, to gain real-world insights rather than theory, hearing directly from firms actively implementing SEAR and navigating its challenges in practice. You’ll learn how to scale accountability frameworks effectively without increasing...
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Through real world examples, and practical insights, you’ll leave with a clearer understanding of what good looks like and how to strengthen your own framework.
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In this short demo, you’ll see how to: Capture and categorise complaints in a centralised system Automate investigation and escalation workflows Monitor deadlines and avoid regulatory breaches Identify root causes using real-time dashboards and analytics Produce...
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Join asset managers, banks and wealth managers to see how to modernise compliance monitoring to withstand supervisory scrutiny.
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