compliance
bribery
conflicts
UPCOMING
Priscilla Gaudoin, Ruleguard's Head of Risk & Compliance will explore 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
complaints
UPCOMING
“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
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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