Why this, why now
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 evidencing oversight is only going up.
This webinar cuts through the noise: where liability really sits, where oversight breaks down in practice, and where AI can take real weight off your team.
What you'll leave with
A clear view of where liability really sits
And what principals are accountable for today.
An early read on where the regime is heading
So you can prepare your network and governance before reform lands.
The pain points other principals are hitting
So you can check for them before they become findings.
A realistic view of what AI can do
Where it cuts the manual burden of oversight, and where human judgement still has to lead.
On the agenda
01
The UK AR landscape
Where the regime stands today and what principals are accountable for.
02
Global parallels
How tied agent and equivalent regimes handle principal responsibility elsewhere.
03
Where it actually hurts
The pain points from the ground: onboarding, monitoring, scope and evidence.
04
Where the regime is heading
What proposed reforms could mean for your network and governance.
05
Where AI genuinely helps
Practical uses in monitoring, evidence gathering and reporting, minus the hype.
06
Your question
Tell us your biggest AR oversight question when you register, and our panel will aim to cover it.
Who should attend
Chief Compliance OfficersChief Risk OfficersHeads of Risk & ComplianceHeads of AR OversightHeads of GovernanceCompliance Monitoring LeadsSMF Holders
For banks, insurers, wealth and asset managers, pension providers, e-money and payment firms, and any regulated firm acting as a principal to appointed representatives or tied agents.
Your expert panel
Priscilla Gaudoin
Head of Risk & Compliance, Ruleguard
Priscilla has worked as a consultant, Chief Compliance Officer and MLRO, with regulatory oversight experience across financial services. At Ruleguard she leads risk management and the firm's thought leadership programme. She is a Fellow of the International Compliance Association, a certified GRC practitioner and a member of the Institute of Risk Management.
Simon Harrington
Head of Public Affairs, PIMFA
Simon joined PIMFA in November 2017 as a Senior Policy Adviser with a focus on public policy and long term savings. He has previously worked at the National Employment Savings Trust (NEST) and the Treasury in a variety of roles working on a number of issues including automatic enrolment, pension freedoms and the UK's response to the financial crisis.
Simon has a strong interest in long term savings issues with a particular focus on overcoming behavioural barriers and the support structures that can be put in place in order to help and encourage a thriving savings culture in the UK.
The session at a glance
26 November 2026 · 10:30am GMT · Online
Join compliance and risk leaders to get ahead of where the AR regime is heading.
Can't wait until 26 November? Talk to us first