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Spotlight on the Appointed Representative Regime

How to implement a robust & resilient oversight process

November 2023

Principal firms are now under greater scrutiny from the regulator and need to ensure appropriate measures are taken to prevent harm to the consumer.  During this session, we’ll help you with practical tips on how to demonstrate robust oversight of your Appointed Representatives.

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Join our experts as we explore the following aspects of the Appointed Representatives Regime:

  • What is the Appointed Representative (AR) Regime?
  • How does this arrangement benefit both ARs and Principal firms?
  • What's new for Principal firms and their ARs?
  • How to manage regulatory expectations
  • Getting to grips with your key responsibilities

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.