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Compliance Update: Breakfast Briefing

Come along to our complimentary Compliance Update: Breakfast Briefing in partnership with Waystone Compliance Solutions and hear from expert compliance trainers and professionals as they provide updates on some of the recent changes in regulation, including the latest on the Consumer Duty and more.

The briefing is designed to assist firms in their planning and is intended for Compliance, FCC and L&D/Training staff.

Date: Thursday 25 May
Time: 9:00 - 11:30 am
Location: The Auditorium, One Moorgate Place, London, EC2R 6EA

Agenda

Claire Simm, CEO, Compliance Solutions Europe, Waystone Compliance Solutions

Peter Haines, Director of GRC Training, CCL Academy

  • The MI challenge & customer feedback
  • Pulling the strings together
  • The training imperative

Followed by Q&A

Martin Mitchell, Director of Training Services, CCL Academy

  • Imminent addition of Individual Conduct Rule 6
  • Interaction of Rule 6 with existing Conduct Rules
  • Non-financial misconduct review

Followed by Q&A

Stuart Holman, Managing Director, Waystone Compliance Solutions

  • Edinburgh Reforms
  • Updating the UK Asset Management Regime
  • UK/EU Regulatory Divergence

Followed by Q&A

Carwyn Evans, Managing Director, Waystone Compliance Solutions

  • SFDR: changes and periodic disclosures
  • SDR: comments and changing timelines
  • Update on UK ESG initiatives

Followed by Q&A

Claire Simm, CEO, Compliance Solutions Europe, Waystone Compliance Solutions

  • Q&A
  • Summary 
  • Close

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