UPCOMING
AI
DORA
critical third parties
supplier oversight
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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wealthmanagement,
asset management,
investment management,
banks,
market abuse,
personal account dealing
Replace Manual PA Dealing Processes Managing Personal Account Dealing through spreadsheets and email creates unnecessary risk, delays and administration.
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financial crime,
market abuse,
personal account dealing
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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wealthmanagement,
asset management,
Compliance Monitoring,
investment management,
banks
Compliance monitoring software for regulated firms Move away from spreadsheets and disconnected compliance processes.
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conflicts
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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accountability,
SEAR,
Ireland
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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breach management,
incidents & breaches
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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wealthmanagement,
complaints,
asset management,
investment management,
banks
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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Compliance Monitoring,
frameworks
Join asset managers, banks and wealth managers to see how to modernise compliance monitoring to withstand supervisory scrutiny.
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regulatory updates,
event,
horizon scanning
Whether you’re aiming to reduce manual effort, strengthen controls, or accelerate adoption of regulatory change automation, this session will give you practical examples and real world context that you can apply immediately. Why Attend Regulatory change affects every...
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complaints,
SM&CR,
on demand
Learn how to demonstrate senior leadership accountability under SM&CR, SEAR and EU rules whilst turning complaints insights into strategic advantage.
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compliance,
FCA,
regulatory change management,
GRC,
horizon scanning
Tune in on demand for an exclusive webinar exploring how firms can modernise horizon scanning in an era of accelerating regulatory change.
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