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Whether you are currently directly authorised or considering making the move – this is the working lunch for you! SimplyBiz is the leading provider of business and regulatory support to the UK retail financial services industry. Supporting over 30% of the directly authorised market means that they are ideally placed to help firms to ensure they are meeting the requirements of the regulator.

In this exclusive working lunch, the highly experienced SimplyBiz compliance team will discuss considerations for firms before making the decision to become directly authorised, along with key considerations in the current directly authorised world including:

• What the regulator expects
• How to remain compliant
• Good governance and controls
• Risk and monitoring
• Consumer duty and delivering good outcomes
• Best business practice and MI
• Adviser recruitment and due diligence

Advisers will:

• Gain an understanding of regulatory expectations in a directly authorised world
• Learn how Consumer Duty and delivering good client outcomes are beneficial best practices and not just regulatory requirements
• Understand the key risks today and how to monitor them

Speakers

Alexander ‘Sandy’ McGregor, Head of Policy, SimplyBiz

Sandy has been with SimplyBiz for nine years, starting out on the Compliance Helpdesk before joining the policy team and graduating to ‘Head of Policy’. Sandy and his team are responsible for studying and interpreting regulatory change and communicating it in an easy-to-understand way. The team looks to support members by simplifying the complexity of FCA regulation wherever possible through member updates, compliance bulletins, regulatory round-ups, webinars, event presentations, Regulatory Horizon Scans, and other forms of practical support. The team is at the forefront of regulatory change and is very knowledgeable about new and existing regulation, and it is the role of the policy team to communicate these changes in a way that is engaging and supportive.

Paul Bruns, Compliance Director, SimplyBiz

Paul has over two decades of experience within the financial services industry, and joined SimplyBiz in 2018 as Director of Field Compliance, before becoming Compliance Director in 2022. Paul’s role at SimplyBiz is to ensure that we continue to deliver a client focused, market leading compliance support service, whilst devising new services to ensure that members remain supported in these ever changing, challenging times.