With regulators increasingly focusing on accountability, individuals working in the financial services sector must be ever more mindful of how they discharge their responsibilities – regardless of whether they are part of the legal/compliance function or engaged on the business side. This webinar will explore:

• the key drivers of personal regulatory risk, with a focus on the UK;
• the way in which governance and culture can mitigate personal regulatory risk (and wider regulatory risk to the firm); and
• the application of technology as a risk mitigation tool.

As part of the webinar, we will explore recent enforcement cases of relevance to the buy-side, with a view to seeing how improved governance and the application of RegTech could have prevented or reduced the misconduct.

Speakers:

• Jane Walshe, CEO, Enforcd
• Francis Kean, Willis Towers Watson
• Adam Jacobs-Dean, Director, Global Head of Markets Regulation, AIMA