Webinars

Financial Promotions under Scrutiny in a Global Market

compliance  FCA  risk management  financial promotions  UPCOMING

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.

Read More

Risk Happens: What GRC Leaders Need to Know Now

compliance  risk management  UPCOMING

In this timely webinar, gain fresh insights into the evolving risk landscape and discover how forward-thinking strategies and technology can give your firm a competitive edge.

Read More

From Compliance to Culture: Embedding Accountability

accountability,  compliance,  culture,  SM&CR,  AI

In this timely webinar, Ruleguard explores the international focus on individual accountability, ethics and conduct in financial services.

Read More

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...

Read More

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...

Read More

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.

Read More

Avoid the Pitfalls: Proactive Compliance Monitoring

compliance

Priscilla Gaudoin, Ruleguard's Head of Risk & Compliance explores some of the common pitfalls of compliance monitoring. How can technology and continuous compliance tracking move your firm from reactive to proactive management?

Read More

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,...

Read More

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...

Read More

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.

Read More

Operational Resilience: Protect Investors & Enhance Compliance

risk management,  operational resilience,  operational frameworks

In this event, our expert panel provide an overview of the UK’s operational resilience framework, outline key requirements of the EU’s Digital Operational Resilience Act (DORA) and discuss how operational resilience aids transparency and builds trust with consumers.

Read More

Financial Crime: Preventing Market Abuse

risk management,  cryptoassets,  operational risk

In this webinar, Ruleguard explores the topic of market abuse by looking at the rules, requirements, and developments. We often think of market abuse in terms of rogue traders, but the term covers a multitude of sins.

Read More