|9.15 – 9.50
|Registration and Breakfast sponsored by Comentis Ltd
|9.50 – 10.00
|Welcome and Introduction – Julie Ampadu, APCC Chair
|10.00 – 10.40
|Morning Keynote Speaker
Maha El Dimachki; Head of Department, Early & High Growth Oversight – Financial Conduct Authority
Maha will be providing a further update of the FCA’s regulatory Scalebox and the progress on the implementation of a stronger regulatory oversight for newly Authorised firms, who may have additional challenges as they are growing and scaling up their original business models.
|10.40 – 11.05
|Alex Viall; Director, Regulatory Intelligence – Global Relay
Recordkeeping, device management and the challenges of new comms platforms and channels post-covid (WhatsApp use/abuse).
Conference Venue Sponsors
|11.05 – 11.20
|11.20 – 11.45
|Frances Murray; Financial Crime Partner – Russell-Cooke LLP
Frances will be conducting a deep dive into the Cryptoassets sphere, exploring the ever-changing regulatory landscape and the impact this has on those in Financial Services, regulated by the Financial Conduct Authority.
|11.45 – 12.15
|Ivona Poyntz – The Complaints Commissioner
Ivona will provide an overview of The Complaint’s Commissioners latest report and the progress with her recommendations to the FCA following the failure of LFC. She will also look at the likely causes of complaints in 2022/2023 and the current spike in cases. Ivona will also look at the impact the cost-of-living crisis will have on regulation.
|12.15 – 12.45
|Duncan Childs; Commercial Banking Director – Metrobank
Duncan will provide an overview of the recent issues being faced by the General Insurance sector and the challenges faced when navigating the FCA’s client money rules and misconceptions around their AML scope.
|12.45 – 13.45
|Lunch Sponsored by Compliance Recruitment Solutions
|13.45 – 14.25
|Afternoon Keynote Speaker
– Ian Searle; Head of Department, Consumer Duty, Financial Conduct Authority
The FCA will be providing their key messages and how they are looking for a change in culture following the incoming implementation of the Consumer Duty. They will look at their expectations of firms as they look to comply with the FCA’s requirements, this will also be a Q&A session with the regulator.
|14.25 – 14.55
|Harvey Knight; Partner, & Natalie Sherborn; Partner – Withers Worldwide
Anatomy of an Internal Investigation – the potential conflicts of interest that may arise between a corporate firm and its individual owner/managers and directors
In today’s increasingly complex world of corporate governance – the question of when and how a corporate firm (especially when regulated) should conduct an internal investigation is ever present. Harvey Knight and Natalie Sherborn, experts in Withers White Collar Defence & Investigations and Regulatory teams explore the trigger points for an internal investigation and how best to manage the conflicts of interest that may arise between the corporate firm and its individual owner/managers and directors.
|14.55 – 15.10
|15.10 – 15.50
|Sha Hussain; Founder, The Wellness Movement, & Sarah Steel; Director, Better with Money
Back by popular demand, Sha will present a session on mental health, and general wellbeing. Sarah will then deliver a session covering the financial aspect and wellbeing in the current challenges facing consumers due to the ‘Cost of Living’ Crisis.
|15.50 – 16.20
|Guy Wilkes; Partner, & Elizabeth Hope; Managing Associate, Mishcon de Reya LLP
Mishcon de Reya will be providing an overview on non-financial misconduct, including the Code of Conduct and fit and proper test for employees and senior personnel (‘FIT’) and the interplay between them, with recent examples of non-financial misconduct cases and regulatory framework for fitness and propriety (‘F&P’) assessments and decisions by firms. All of the above to include practical tips / lessons learned from recent cases.
|16.20 – 16.45
|Sarah Abraham; Head of Redress Solutions, & Simon Robinson; Consultant Actuary – OAC
OAC will be running through the implications for IFAs of recent changes to the FCA’s redress guidance and discussing some current issues in redress including the British Steel consumer redress scheme.
|16.55 – 16.50
|APCC Update and close – Julie Ampadu, APCC Chair
|16.50 – 18.30
|Networking event in the same venue – Join us for drinks and canapes, with your fellow consultants hosted by the APCC sponsored by Withers Worldwide
We also would like to thank our additional sponsors
Zing 365 – Conference Collateral
RPost – Conference Content
Please note, this event is now fully booked.
If you would like to be added to our cancellation list, please email firstname.lastname@example.org