accountability,
compliance,
culture,
SM&CR,
AI
In this timely webinar, Ruleguard explores the international focus on individual accountability, ethics and conduct in financial services.
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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...
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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...
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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.
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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?
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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,...
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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...
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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.
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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.
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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.
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regulatory change management,
AI
In this on-demand webinar, the panelists discuss the challenges firms encounter in managing regulatory changes and the urgency with which they must respond. The session also highlights the importance of meeting this year's deadlines, explores various RegTech solutions...
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risk management,
cryptoassets,
operational risk
With today’s technological advancements comes innovation risks. In our latest webinar, we’ll explore the challenges of managing the risks associated with digital assets.
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