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During the pandemic, firms have closed offices and sent employees home to work. In this new mode of operation, regulated firms are also confronting an additional challenge – how to stay in compliance with a myriad of regulations covering conduct (for example, SM&CR), suitability, record keeping and retention, and more.

Although the FCA has offered temporary relief, most are standing firm on their requirements. As a result, firms are scurrying to extend compliance processes and technology in an effort to monitor, supervise and record remote regulated workforces and the new communication modalities they’ve adopted while working for home.

Join NICE Actimize and PIMFA for this FREE webinar as we share best practices to help your firm navigate these complex challenges. We’ll provide guidance on:

• The current regulatory environment and enforcement practices
• How to extend compliance processes and technology to remote workforces and new communication modalities to comply with key global regulations
• How automated solutions can help your firm ensure compliance (for example with SM&CR’s requirements around maintaining certification and avoiding conflicts) even in remote environments
• How advanced analytics (Artificial Intelligence, Machine Learning) can help your firm stay on top of risks, especially during this volatile time

Booking and Registration Information

If you are a PIMFA member please ensure you have logged in to register for this webinar, podcast or event and receive your discount. If you are unsure of your login details you can request a new password via our website or email us to reset it for you. If you are unsure whether you belong to a PIMFA member firm please register for an account or email us and we will confirm this for you. You can still register for our webinars, events and podcasts as a non-member (charges apply in some instances). Requests may take up to 48 hours to process.



8th July
15:00 - 16:00
Event Categories:


0207 448 7100


CPD Hours


Zoom Webinar