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In 2022, Wealth Management firms face a daunting schedule of regulatory changes. ESG, Operational Resilience and Consumer Duty are just a few critical areas amongst many others that are competing for your time, limited budgets and finite resources.

In this FREE 60-minute webinar, Worksmart’s Director of Regulation & Market Engagement Julie Pardy and Shoosmith’s Partner in the Dispute Resolution and Litigation team, Daren Allen, make sense of what Risk and Compliance professionals need to know to steer their firms clear of the dangers posed by an increasingly challenging and complex regulatory landscape.

Key discussions will focus on: 

  • FCA & PRA enforcement – How will regulators flex their enforcement muscles in 2022?
  • Financial crime – Lessons WM’s can learn from recent fines when designing financial crime compliance programmes
  • Different, New or the same? What the FCA expects from Senior Managers under SM&CR in 2022
  • Call of Duty – What considerations WM’s will need to take to prepare for the new Consumer Duty.
Julie Pardy
Director of Regulation & Market Engagement
Daren Allen
Partner-Dispute & Litigation Team

Booking and Registration Information

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5th April 2022
11:00 - 12:00
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