Compliance 2022 – The future of UK regulation

For many years now, regulation has been the main concern of the UK wealth industry, causing multiple headaches across the sector and one of the key reasons behind surging costs among these firms.

In September 2021, the FCA issued a ‘Dear CEO’ letter, which outlines the new areas of focus from the regulator. These will therefore each form a basis of discussion within the webinar and include:

Please use the form below to register your interest in attending this webinar. A member of the Compeer team will then be in touch shortly.

There is no charge for this webinar for representatives of wealth management firms and private banks. A charge of £100 + VAT applies for service providers.

CPD certificates will be issued shortly after the webinar.

Event Information

11:00 – 11:05           James Brown, Compeer – “Welcome & Introduction”

11:05 – 11:20           Debbie Gupta, FCA

11:20 – 11:30           Tom Thwaites, Compeer 

11:30 – 12:00           Wealth Management Panel Discussion

Penny Rooney (Killik), Duncan Taylor (Canaccord Genuity), Louise Stanway (Ruffer)

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James Brown, Head of Client Services – Compeer

James joined Compeer in October 2006 as an analyst following his graduation from The University of Warwick, where he studied Mathematics, Operational Research, Statistics and Economics.  Today he manages Compeer’s team of analysts. He has widely presented key trends in the UK Wealth Management Industry, with in-depth experience of providing statistical analysis of firms’ business performance. He regularly provides recommendations during presentations to Executive boards, and is actively involved in bespoke research projects.

Tom Thwaites, Senior Research Analyst – Compeer

Tom joined Compeer in January 2019 having graduated from the University of Leicester with a BSc in Financial Economics. During his time at university Tom attended Katholieke Universiteit Leuven in Belgium as part of the Erasmus program where he furthered his studies into economics, finance, business management and econometrics. He also gained work experience in Beijing on a summer internship for a Chinese consulting firm which specialises on the Belt and Road initiative.

Now, as a member of the Compeer analyst team Tom works on a variety of bespoke research projects looking into different aspects of the Wealth Management industry, presenting the findings at Compeer conferences as well as supporting the team with the annual industry report and benchmarking services.

Louise Stanway, Head of Compliance and Partner – Ruffer LLP

Louise joined Ruffer in 1999 after graduating with an honours degree in accountancy and law and became Ruffer’s Compliance Officer in 2007. During 2004, she spent seven months seconded to the Personal Investment Management and Financial Advice Association (PIMFA). Louise has been a Director of the Joint Money Laundering Steering Group since 2004 and was appointed as its Chairman on 1 July 2016. She has also chaired the PIMFA Financial Crime Committee since 2007.

Duncan Taylor, Head of UK Wealth Management Compliance – Canaccord Genuity Wealth Management

Previously Group Head of Compliance for Charles Stanley. Prior to that, he was Head of Compliance for Quilter Cheviot and helped guide the firm through a number of corporate transactions in his time there. He is a qualified member of the Chartered Governance Institute UK & Ireland, and fellow of the Chartered Institute for Securities & Investment.

Penny Rooney, Head of Compliance – Killik & Co

Penny Rooney has been the Head of Compliance at Killik & Co since 2009, becoming a Partner and joining the Board in 2014.  With over 20 years’ compliance experience, including as a regulatory and compliance consultant at KPMG, her career has been built upon responding to regulatory change and preparing businesses for the challenges it represents.  In 2020, she became Chief Risk Officer with responsibility for embedding a risk framework across the organisation, whilst continuing to oversee Compliance. She is an active member of the PIMFA Regulatory Committee and regular attendee at wealth management peer group forums.

Other upcoming events

ESG – What next for wealth managers?

Wednesday 9th March 2022
13:00 - 14:00

Following on from our ESG themed webinars earlier in 2021, Parkwell will be hosting another ESG webinar where we will we take stock of the progress within the wealth management industry, discuss new issues and regulations that have emerged over the year and identify the opportunities and trends we think will be prominent during 2022. Once again we will joined by a panel of leading industry experts who will share their insights and debate the challenges ahead.

WealthTech 2022 – Using technology to drive front office efficiency

Thursday 28th April 2022
To be confirmed

An efficient front office is vital for a UK wealth management firm and so firms are constantly looking at ways to improve in this area. Technology will be at least part of the solution and so Compeer will analyse the current state of play and where digital and technological advancements can support the front office.

Wealth Management: The Yearly Review 2022

June 2022
To be confirmed

Compeer will share all of the key business performance trends from it’s extensive annual benchmarking survey of the UK wealth management industry.