4th September 2024
Online
The current regulatory challenges facing advisory firms
In our next working lunch, Regulatory Compliance experts SimplyBiz will be shining a light on the key regulatory challenges which firms are currently facing, including ongoing servicing and the Retirement Income Advice Review. Our expert panel will be focusing on what recent regulatory changes mean for firms and highlighting best practice solutions to ensure that you are meeting your regulatory responsibilities
Learning objectives:
Following this session you will be able to
1. Describe the key regulatory challenges currently facing advisory firms in the UK
2.Determine workable solutions to these challenges to maintain regulatory compliance
3. Embrace the challenges and provide opportunities within your business
Speakers
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.
Jennifer Peaty, Director of Regulatory Consultancy and Advice Quality, SimplyBiz
Jennifer Peaty has worked in financial services for over 25 years and has been with SimplyBiz for just over eight years. In her role as Director of Regulatory Consultancy and Advice Quality, Jen is responsible for the development and delivery of UK wide compliance consultancy services to our member firms and holds oversight of our Advice Quality team.
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.