Cosegic is pleased to introduce the second in our new series of Bitesize webinars. These webinars will be 30 minutes long and start at 12:30 pm, making them perfect for lunchtime learning. The aim of the Bitesize series is to take one particular regulatory topic and examine it in greater detail to provide insightful and practical guidance. In order to keep the presentation short and insightful, all questions asked throughout the webinar will be answered by our experts upon the conclusion of the webinar.
This webinar covered
In this webinar, our team of experts, who bring extensive experience in the compliance industry, provided a comprehensive summary of the key fundamentals for running a successful compliance program. Their deep understanding in the field ensured a thorough and insightful overview tailored to the needs of the industry.
During the webinar, we ran through the baseline obligations that firms must comply with to avoid fines and/or higher levels of scrutiny from the regulator. This will include a checklist of 8 areas that are sometimes poorly understood or overlooked.
Agenda
- Common interactions with the FCA
- Understanding and assessing regulatory risk
- Implementing a compliance framework appropriate to your business model
- Areas commonly overlooked or poorly understood
Speakers
Martin Lovick
Director, Capital Markets
Martin is Director of Capital Markets. He advises a wide range of financial institutions, including leading hedge fund and private markets managers, brokers and corporate finance firms. Prior to that, Martin Lovick was a Director within ACA Group’s Regulatory Consulting Practice.
Stephen Roberts
Director, Capital Markets