Compliance 2023: Emerging themes in financial regulation

2023 marks the start of a new year, with many hoping it will not be a repeat of the troubles of 2022. However, one thing that will not change is the onslaught of regulatory requirements.

At our annual Compliance event we will investigate the upcoming regulations for this year, whilst reviewing how firms are adjusting and where substantial work remains. We will also review the views of investors to see if the new regulations are aligned with their needs and desires.

We very much hope you and your colleagues can join us on 1st March to hear these latest research findings, as well the expert thoughts from our guest speakers. Plus, we are delighted to be joined by a panel of Heads of Compliance, giving you the perfect opportunity to find out exactly what your peers are thinking and where they see major changes happening throughout the year.

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Event Information

15:00 – 15:30           Networking

15:30 – 15:35           Bruce Weatherill – Welcome & Introduction

15:35 – 15:50           Catherine Levy, CISI

15:50 – 16:05           David Ostojitsch, PIMFA

16:05 – 16:20           James Brown, Compeer

16:20 – 16:35           Mark Spiers, Bovill

16:35 – 17:05           Wealth Management Panel Discussion

(David Ostojitsch – PIMFA, Hugo Watson Brown – Evelyn Partners, Catherine Levy – CISI)

17:05 – 18:00           Networking

Bruce Weatherill, Master of Ceremonies

Bruce is a Chartered Accountant with over 35 years’ financial services industry experience around the world. He was a partner in PwC for 20 years and is now a non-executive director of Compeer as well as other companies.

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.

Catherine Levy – Chair of the Compliance Forum, CISI

Catherine has worked within financial services for over 37 years with nearly 19 years’ experience in Compliance and Risk. She is the former Group Head of Compliance Risk Framework for HSBC a Chartered FCSI and is the current Chair of the Chartered Institute of Securities and Investments Compliance Forum.

Catherine has held senior compliance and risk management roles across a number of global financial services firms including Citigroup, Lloyds Banking Group, RBS and for the last 8 years at HSBC. She has extensive experience leading regulatory and operational risk change programmes, all areas of Compliance risk including the development of monitoring methodologies and functions, managing relationships with regulators both UK and Internationally and has a keen interest in the development and usage of data for managing compliance risk.

David Ostojitsch – Director of Government Relations and Policy, PIMFA

David joined PIMFA in November 2022 as Director of Government Relations and Policy. He is responsible for PIMFA’s relationships with governments and regulators and regulatory and supervisory policy.

Before joining PIMFA, David spent 16 years working across financial services change and policy, including four years as the Director of Technology and Operations at the Association of Financial Markets Europe (AFME). Earlier in his career, David worked at PwC in investment management and technology advisory.

Mark Spiers – Partner, Bovill

Mark Spiers is a Partner and member of Bovill’s Executive Committee based in the UK.

Mark has over 20 years’ experience in the industry, in particular across wealth management, banking and financial crime. Before joining Bovill, he worked in multiple compliance roles including as a Money Laundering Reporting Officer in several large international investment banks, including UBS and Kleinwort Benson.

Mark was part of Bovill’s leadership team between 2013 and 2019, rejoining us in 2022. He has led teams at Bovill in banking, investment management and lending. Having initiated Bovill’s five-year support of the US Monitorship of HSBC he leveraged our expertise and experience to establish a dedicated financial crime team.

Mark is a hands-on practitioner who specialises in the practical interpretation of the rules in a commercial environment. He also has significant experience in handling regulatory intervention including thematic reviews and potential enforcement action.

He has responsibility for overseeing Bovill’s Wealth, Fraud and Financial Crime, and Insurance and Lending Practices.

Hugo Watson Brown – Director, Financial Services, Evelyn Partners

Hugo Watson Brown works on regulatory change from within the investment department at Evelyn Partners.  A chartered accountant by training with a specialism in tax, he spent 15 years at a boutique investment bank focusing on alternative investment strategies.  His interest in regulatory policy developed whilst working at an international consulting firm in the aftermath of the 2007/8 financial crisis where he advised clients on the emerging post-crash regulatory landscape.  At Evelyn Partners, he is co-ordinating the implementation of regulatory developments.

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