The Regulation and Compliance Forum
With regulations continuing to be introduced or amended across the Capital Markets and the Regulator's drive towards firm's being able to demonstrate a healthy Culture, (prescribed in the Senior Managers and Certification Regime). Coupled with the withdrawal of the UK from the EU, complexity for Firms to be compliant, whatever their legal/organisational structure and location will only increase. Culture quite rightly now plays an important part in regulatory compliance, as Andrew Bailey commented in one of his speeches ...`` My assessment of recent history is that there has not been a case of a major prudential or conduct failing in a firm which did not have among its root causes a failure of culture as manifested in governance, remuneration, risk management or tone from the top`` ...

This forum will liaise with the other ISITC Europe forum groups to focus on impactful, relevant regulatory change (horizon and imminent) and strategies for compliance. And work with with leading experts to examine, debate, discuss and inform, to provide members with a unique perspective to assist in their understanding of the impact of new or updated regulations across the whole of the financial services community.

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Next Regulation and Compliance Forum Event

The Forum co-chairs are currently finalising the forum event programme for 2022.

Details on the next event will be released shortly.





Anthony Epstein SMCR

Meet the Co-Chairs: Anthony Epstein &

 Anthony Epstein, Director, Business 360

Experienced Compliance Officer|CF10, CF10a, CF11|SMCR delivery, conduct and business conduct training |Asset, Funds or Private Wealth Management.

After qualifying as an ACCA in 1989, Anthony moved into business orientated risk and compliance solutions in 1990, working in and with niche private banks and global investment (funds) management firms, both in the U.K and Europe, In 2005 he set up a consulting service called Business 360. His extensive experience has been primarily focused on advising senior and executive management, on how to successfully meet their regulatory obligations. In addition he has helped firms to resolve regulatory issues, which have been identified as requiring remediation and resolution. Anthony has a deep understanding of rules and regulatory standards. This has enabled him to support TISA on developing guidance from the perspective of the ‘Individual’, in-scope of SMCR,  which seeks to facilitate their membership, to embed and evidence, positive conduct & behaviours.

In September 2020, Anthony launched an HR platform that integrates SMCR reasonable steps into employee lifecycle processes that incorporates the expectations of the FCA SMCR regulations

Regulation & Compliance Content

Regulation & Compliance Forum Sessions

The Forum invites participation and discussion between individuals across the whole of the Capital Markets ecosystem, who have an interest in Compliance and Regulation. The forum will aim to work actively with other forums, trade associations and institutions to help to deliver education, communication, and the latest information for the advancement of the ISITC Europe Community.


  • A series of online events are planned these will take the form of webinars to enable global participation.
  • Roundtable discussions (held under the Chatham House Rule to facilitate a free and frank exchange of views and ideas). Participation will be by invitation only to senior executives and numbers will be limited to enable better social interaction.

It is anticipated that when on site meetings are allowed again that forum sessions will be come face to face events.

Outcome from Sessions

A post discussion summary will be created by the forum leaders, which will be made available to members on the ISITC Europe website.

If you are interested in getting involved with the group and are already a corporate individual member or associate member of ISITC Europe then please click the ‘Join Forum’ link above.

ISITC Europe invites individuals and corporates from across the capital markets ecosystem to enable a joined-up approach, if you are not currently a member of ISITC Europe you are welcome to apply for membership.

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