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Using technology to manage regulatory change

One of the ever-changing aspects of our industry is the constant stream of regulation that keeps raining down on us all. Here, Chris Davies of award-winning RegTech provider, Model Office, answered questions from Paul Richards, our Head of Distribution during our webinar on 17 March 2022. They discussed the impact of regulatory change on advice firms and how RegTech can help them run more compliant, and ultimately more efficient, businesses.

Key areas that were included in the discussion:

  • The new Consumer Duty
  • Outcomes-focused regulation
  • The financial promotions review for high-risk investments
  • Advice suitability in relation to a client’s sustainability preferences
  • Operation resilience 

Using technology to manage regulatory change

Listen to the full conversation

Donwload the transcript

What exactly is RegTech and how can it help firms?
In terms of your company, can you tell us more about how you can help firms?
Which areas of new regulation should advisers be most concerned about? Do they need to be thinking about resilience, for example?
Can you tell us why the regulator is so concerned about operational resilience?
What areas is RegTech best suited to?
Can RegTech help with client ESG preferences and suitability?
Which areas of forthcoming regulation can technology particularly help firms with?
What is the cost of implementing this technology?
What should be the top three priorities for a Compliance Officer at this moment in time?

About the speakers

Paul Richards

Head of Distribution, Fidelity Adviser Solutions

Chris Davies MSC

Managing Director, Engage Insight and Founder, Model Office

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Operational Resilience Unwrapped - A practical guide for the c-suite

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