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Client Asset Requirements: How to Succeed

ON DEMAND

MARCH 2023

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.

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In this 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

Speakers

Priscilla Gaudoin

Priscilla Gaudoin

Head of Risk & Compliance

In a career spanning 27 years, Priscilla has worked as a consultant, CCO and MLRO providing regulatory oversight and advice to firms across the financial services industry. She is responsible for our thought leadership programme, writing regular articles and white papers, and hosting webinars on a variety of regulatory matters.

Her dual role also encompasses the oversight of risk management at Ruleguard.

She is a Fellow of the International Compliance Association, a certified GRC practitioner, and a member of the Institute of Risk Management.

Matthew Bruce

Matthew Bruce

Platform Director

Matthew is our Platform Director and leads the development roadmap for the Ruleguard platform.  He has 15+ years of experience in software development and has worked on Ruleguard since its launch.​

Matthew plays a key role in delivering a programme of features and improvements that continue to delight users and deliver tangible business value. He’s passionate about product management that balances strategic and tactical objectives.