appointed representatives,
UPCOMING
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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operational risk,
AI
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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Consumer Duty,
UPCOMING
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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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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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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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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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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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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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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compliance,
FCA,
CASS,
payment firms
Tune in on demand for an actionable session that translates global regulatory themes into practical steps your firm can take now. Whether you’re a high growth asset manager, an established payments provider or a firm navigating multiple jurisdictions, this webinar will...
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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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