CPD Festival Week: RegTech, Risk Management and The Future of Regulation
Chris will provide a review of the direction that the FCA and other regulators are taking and their application of technology to governance, risk and compliance requirements. Chris will also explain how to identify, manage and monitor risk and increase accountability and governance in line with the regulators’ direction, as well as providing insight into tech based solutions.
Learning objectives
By the end of the session, attendees will:
- Understand how regulators are applying technology
- Know what Reg Tech is and its presence / role in the current FS / GI markets
- Know how RegTech applies to businesses and can assist in streamlining regulatory reports as well as reducing your carbon footprint.
- How to ensure that risk and compliance is managed by embracing the principles of Reg Tech
Speaker biography
Chris Davies has 27 years experience in retail financial services both in the UK, and internationally in Asia and Australia.
In 2017 Chris launched “Model Office”(“MO®”) a RegTech and strategic development platform that allows firms to self audit, identify problems early, cut through the noise and receive tailored tasks and resources to manage risk, improve professional practice and save time and costs.
This allows firms to benchmark their professional development against The FCA rules, their papers, key directives such as KYC, AML, TCF, IDD, Suitability, MiFIDII, The GDPR and SM&CR and their peers plus gain a regulatory dashboard with digital strategies and resources to improve compliance scores.
Chris’s experience has given him an in depth understanding of the Fin/RegTech eco-system and the direction of regulatory and commercial travel.
Chris is a Chartered member of The Chartered Management Institute and an Associate member of the Chartered Institute for Securities and Investments and holds an Msc in Organisational Behaviour.
Who should attend this event
This seminar will appeal to all Financial Services and General Insurance practitioners who work are concerned with matters of a risk or regulatory nature at any level of their organisation. This includes anyone who specifically has a risk and / or compliance function, including company directors and business owners.
Joining instructions are sent with your booking confirmation. If you are unable to attend, please cancel at your earliest convenience to allow another member to attend.
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CII Accredited
This demonstrates the quality of an event and that it meets CII member CPD scheme requirements.
1 hour's CPD can be claimed for this event if relevant to your learning and development needs.
It is recommended that you keep any evidence of the CPD activity you have completed and upload copies to the recording tool as the CII may ask to see this if your record is selected for review. Details of the scheme can be viewed online at www.cii.co.uk/cpd.