With the FCA urging firms to focus on suitability and to look out for the best interest of their clients, this thought-leadership event will discuss how technology can drive and manage the cultural change necessary to accommodate conduct risk obligations. Themes to be covered include:

  • Evidencing systematic workflows to comply with regulatory issues
  • Putting the right processes in place for prospective clients
  • Managing relationships beyond on-boarding
  • Improving how we engage with new and existing clients
  • Product developments and marketing structures
  • Sales processes, compensation and motivating staff: changing how you sell

Learn how the most successful operations and compliance managers have overcome these issues and how to best leverage data and change the behaviour of your firm to combat conduct risk.


  • 08:00 - 09:00: Registration and Breakfast
  • 09:00 - 10:30: Panel Session
  • 10:30 - 11:00: Networking


Date and Time

Date: Wednesday 25th March - 2015
Time: 8:00 am – 11:00 am


Carlton Club

Address: 69 St James's Street, London, SW1A 1PJ

Telephone: +44(0) 020 7493 1164

About our Sponsors


Keynote Speaker

Gary Linieres

Chief Executive


Gary has over 15 years’ experience in the financial technology arena, encompassing sales, sales management and general management roles in software vendors around the world. A domain expert in the […]


Emily Morris


Acanthus Consulting

Emily has held a variety of director-level and senior roles in private client business development and communications over the past decade and a half with, amongst others, Rathbones and Barclays […]

Mark Spiers

Head of Wealth Management


Mark’s team provides advice and support predominantly to clients in the wealth management and private banking sector. He has 16 years of experience in the financial services industry. Mark has […]

Michael Bennett

Chief Operations Officer

Charles Stanley

Michael joined Charles Stanley in October 2008 as director of ICT and projects. In January 2015 he was appointed as chief operations officer for the group with a direct responsibility […]

Vinita Ramtri

Head of Conduct Risk


Vinita is the head of conduct risk at Barclays Wealth and Investment Management and has been with the business since 2012. Conduct, for Vinita, ultimately boils down to clients trusting […]


This event has already taken place.