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    Webinars

    Join your peers from around the world, for our regular live broadcasts or watch our on-demand webinars at your convenience, to gain direct access to the pulse of GRC thought leadership. Each session is a gateway to the latest trends and compliance strategies, offering a dynamic platform for learning and interaction.

    Financial Promotions under Scrutiny in a Global Market

    Financial Promotions under Scrutiny in a Global Market

    compliance,  FCA,  risk management,  financial promotions

    Discover how Ruleguard is helping firms navigate financial promotions regulation, from the UK Financial Promotions Gateway and oversight of Appointed Representatives to regional approaches. We’ll also uncover common challenges and how to overcome them.

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    Duty Bound: The UK Consumer Mandate in a Global Age

    Duty Bound: The UK Consumer Mandate in a Global Age

    financial promotions,  Consumer Duty,  Product Governance,  AI

    This session examines the evolving expectations placed on firms under the UK’s Consumer Duty and the impacts upon consumers. As global markets become more interconnected, this discussion will highlight why consumer-centric strategies are not just a compliance...

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    Improve Complaints Management and Improve Compliance

    Improve Complaints Management and Improve Compliance

    compliance,  complaints

    “Complaints data is one type of data firms can use to understand the outcomes their customers are experiencing.” FCA Complaints & Root Cause Analysis. The UK regulator continues to urge firm to use their complaints data to address poor outcomes and identify areas of...

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    When is a gift not a gift?

    When is a gift not a gift?

    compliance,  bribery,  conflicts

    Priscilla Gaudoin, Ruleguard's Head of Risk & Compliance explores the grey areas where seemingly small gestures can spiral into major compliance issues, through the lens of practical case studies, real-world vulnerabilities, and recent regulatory scrutiny.

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    Ruleguard Operational Resilience Roundtable

    Ruleguard Operational Resilience Roundtable

    operational resilience,  round table

    Building Operational Resilience Together This event is designed for professionals in financial services who are navigating the complex landscape of operational resilience. With insights from regulatory developments, industry best practices, and real-world solutions,...

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    Third Party Risk: Outsourced, not out of sight

    Third Party Risk: Outsourced, not out of sight

    risk management,  third party risk

    Ruleguard's Head of Risk & Compliance focuses on the global regulatory emphasis on Operational Resilience, highlighting the critical need for firms to identify and manage risks associated with critical third parties (CTPs). The event addresses how firms can meet...

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    Ruleguard CASS Roundtable

    Ruleguard CASS Roundtable

    audit,  CASS,  client assets

    We were joined by 30+ Senior Managers and Heads of Client Assets for an insightful session discussing CASS challenges, strategies to enhance compliance, exploring the latest market trends, and more.

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