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Regulatory Expectations in Data Governance

Length: 50 minutes | Format: Webinar

Regulators are increasingly emphasising a data-led approach to supervision and compliance. But what does this mean for regulated firms? How can firms effectively respond to regulators like the Financial Conduct Authority (FCA) 's growing demands for data?

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Key takeaways

In this webinar, we explore these questions, clarifying regulatory expectations and providing actionable strategies for compliance.

  • Understanding the concept of data-led regulation and its implications for regulated firms
  • Exploring the impact of regulatory data requests on firms and how to effectively respond to them
Practical tips for managing compliance obligations, including ownership, the Senior Managers and Certification Regime (SMCR), and the role of compliance in addressing gaps and conducting reviews
  • Insights into personal liability and responsibility for senior managers in regulated firms, including strategies for managing accountability

Meet the speakers

Scott Morris

Senior Advisor | Skillcast

Scott has over 40 years' banking and Compliance leadership experience, acquired across a number of global banking organisations, as well as a regulator and professional body. He has extensive experience of creating and directing large teams across different regions and has performed senior roles in Compliance, Anti-Financial Crime and COO at Board, Senior Advisor, Managing Director and Executive Vice President levels. 

Katharine Leaman

CEO | Leaman Crellin

Katharine Leaman spent 11 years within the FCA then oversaw compliance at two major banks. She now consults on regulatory compliance across market conduct, CASS, SMCR, FX Global Code, Outsourcing, non-financial misconduct, and conduct risk.

Sara Cody

Specialist FS Regulatory Counsel | Linklaters

Sara is a Counsel specialising in UK contentious regulatory work. She has experience of all aspects of regulatory enforcement and has written extensively on both FCA/PRA enforcement decisions and UK, EU and global enforcement trends. Sara’s technical expertise means she is frequently called upon by clients to design and deliver bespoke training on the FCA and PRA enforcement process and investigations skills. 

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