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Spotlight on the Appointed Representative Regime: How to implement a robust & resilient oversight process

On demand Webinar

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Matthew Bruce - Platform Director-modified

Priscilla Gaudoin

Head of Risk & Compliance

Matthew Bruce

Platform Director

Spotlight on the Appointed Representative Regime: How to implement a robust & resilient oversight process

Principal firms are now under greater scrutiny from the regulator and need to ensure appropriate measures are taken to prevent harm to the consumer.  During this session, we’ll help you with practical tips on how to demonstrate robust oversight of your Appointed Representatives.

Join our experts as we explore the following aspects of the Appointed Representatives Regime:

  • What is the Appointed Representative (AR) Regime?

  • How does this arrangement benefit both ARs and Principal firms?

  • What's new for Principal firms and their ARs?

  • How to manage regulatory expectations

  • Getting to grips with your key responsibilities

     

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Speakers

Priscilla photo

Priscilla Gaudoin

Head of Risk & Compliance

Priscilla has enjoyed a Financial Services career spanning 25+ years in UK & international organisations, and consultancy services. Priscilla has devoted her career to risk management, compliance project management and governance.  She has defined and executed regulatory strategy & governance frameworks to support multiple firm types across the Financial Services Industry.

Priscilla is a GRC specialist and is responsible for the regulatory thought leadership strategy at Ruleguard.  She regularly hosts webinars and authors articles & white papers focused on raising awareness of key regulatory matters.  Priscilla’s desire is to reach like minded individuals to help influence and shape GRC frameworks that support the FS industry and deliver good outcomes for customers.  She is a Fellow of the International Compliance Association and a Member of the Institute of Risk Management.

Matthew Bruce - Platform Director-modified

Matthew Bruce

Platform Director

Matthew is our Platform Director and leads the development roadmap for the Ruleguard platform.  He has 15+ years’ experience in software development and has worked on Ruleguard since launch.​

Matthew plays a key role in delivering a programme of features and improvements that continue to delight users and deliver tangible business value. He’s passionate about product management that balances strategic and tactical objectives.

Watch on demand

Unlock the Appointed Representative Regime webinar now!