During the pandemic, firms have closed offices and sent employees home to work. In this new mode of operation, regulated firms are also confronting an additional challenge – how to stay in compliance with a myriad of regulations covering conduct (for example, SM&CR), suitability, record keeping and retention, and more.
Although the FCA has offered temporary relief, most are standing firm on their requirements. As a result, firms are scurrying to extend compliance processes and technology in an effort to monitor, supervise and record remote regulated workforces and the new communication modalities they’ve adopted while working for home.
• The current regulatory environment and enforcement practices
• How to extend compliance processes and technology to remote workforces and new communication modalities to comply with key global regulations
• How automated solutions can help your firm ensure compliance (for example with SM&CR’s requirements around maintaining certification and avoiding conflicts) even in remote environments
• How advanced analytics (Artificial Intelligence, Machine Learning) can help your firm stay on top of risks, especially during this volatile time