The Regulation and Compliance Forum

 

New regulations continue to be introduced or amended in Capital Markets. The withdrawal of the UK from the EU will only increase complexity for Organisations to be compliant in both jurisdictions. It is possible but by no means certain that equivalence of rules and laws will be maintained. This forum will examine, debate and discuss Regulation and Compliance issues with leading experts in these fields. Providing 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.

 

 

 


The Regulation and Compliance Chair: Anthony Epstein


Anthony Epstein SMCR

 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


Involvement in the Regulation and Compliance Forum

The Regulation and Compliance Forum invites participation and discussion between members who have an interest in this area. Forum meetings are usually held quarterly, with occasional ad hoc meetings when required. The forum will aim to deliver education, communication, and information for the advancement of member firms.

Outcomes from these Forum discussions are only available to ISITC EUROPE members.

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 contact: admin@isitc-europe.com

If you are not a member of ISITC EUROPE you are welcome to apply for membership.