The ability to identify, manage and control risks is a basic requirement for regulated firms, but demonstrating appropriate systems and controls isn’t always easy.   Firms continue to receive hefty fines from the regulators for failing to meet Principles 2 & 3, and the more detailed SYSC requirements.  How can we improve our risk management frameworks?

​

We'll consider the following aspects:

​

• Key features of a risk aware culture

• Understanding risk maturity in firms

• Risk appetite and its impact

• Internal communications

• Understanding a risk management framework

​

View our event and learn more about our practical solutions to help you keep track of what’s important to you and your business. 

​

Managing regulatory change can be a time-consuming exercise.  Where do you start, and how do you know you’ve got all bases covered?  These are a couple of the challenges regulated firms face every day against the backdrop of regulatory censure.

​

We'll consider the following aspects:

​

• Tips for managing regulatory developments

• Being a catalyst for change in your business

• Demonstrating ongoing compliance, and

• Providing assurance to your board and regulator​

​

View our event and learn more about our practical solutions to help you keep track of what’s important to you and your business. 

​

​

​

​

​

The new Consumer Duty requirements come into force on 31st July 2023.  By this date, relevant firms need to ensure that they can demonstrate compliance with the Consumer Duty requirements.  This means more than completing the actions in your implementation plan.  The FCA wants to see the Consumer Duty requirements embedded in your firm, and greater collaboration between all relevant parties.

​

We’ll consider the following areas:

• Ensuring robust governance arrangements

• Providing assurance to the Board

• Considering any third party arrangements and

• Demonstrating ongoing compliance  

​

​

​

​

​

​

Preparing for any audit can be challenging in terms of time and effort, not to mention the costs. Join us for a look at the changing world of audits and the impact upon the financial services industry.

 

We’ll explore the following areas:

• Challenges facing firms

• Information sharing

• Governance and oversight

• Practical solutions to the challenges

 

Don’t miss the opportunity to share Ruleguard’s expert knowledge. 

​

​

​

​

​

​

​

​

After almost 10 years, the UK is evaluating the effectiveness of the SM&CR across the various sectors.  HMT’s Call for Evidence has been launched alongside the FCA and PRA’s joint Discussion Paper.  How is this likely to impact regulatory firms, and individuals?  Get a comprehensive look at the changing landscape of SMCR in the UK and accountability globally.

 

View our event and learn more about:

• The latest regulatory developments

• How effective collaboration can help firms stay compliant

• How to monitor compliance efficiently

• How to provide regulatory assurance

• How Ruleguard can help you

​

In the UK, recent fines and S-166 investigations have focused on firms’ failure to manage risks effectively.  In our webinar, we focus on what it means to raise awareness and encourage ownership in the business.  We also examine some key regulatory messages from the UK, EU, and USA.

 

In this event you’ll learn:

• How to implement an effective end-to-end process

• How to raise awareness and ownership

• Latest regulatory developments

• How these could impact your firm

​

​

​

​

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.
 

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

   

​

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

​

​

​

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.

​

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.

​

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

​

​

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.

​

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.
 

During this event we explore how can firms leverage their existing risk frameworks to build robust business services.

​

​

​

​

​

​

​

​

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.

​

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

​

​

​

​

​

​

​

​

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

 

Agenda items include:

• Regulatory context

• Risks relating to third parties

• Challenges for firms

• Group considerations

• Other regulatory approaches

​

​

​

​

​

​

​

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.

 

In this event we cover the following:

• Operational Resilience and why it matters

• Regulatory requirements

• Steps for successful implementation

​

​

​

​

​

​

​

​