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Ruleguard is the leading RegTech company specialising in Governance, Risk, and Compliance (GRC) software solutions for the financial services industry. Our platform streamlines compliance processes, enabling firms to efficiently manage regulatory obligations and maintain high standards of conduct. We are excited to share our podcasts, where we delve into the latest trends and challenges in regulatory compliance. Our episodes feature expert insights on topics such as operational resilience, third-party risk management, and the Financial Conduct Authority’s (FCA) strategic initiatives. Each episode is designed to provide valuable information to help firms navigate the complex regulatory landscape. Join us as we explore these critical issues and share practical strategies to enhance your firm’s compliance framework. Stay informed and ahead of the curve with Ruleguard’s podcast series.
Episodes
Thursday Jan 23, 2025
Thursday Jan 23, 2025
In this episode of the PIMFA Podcast, host Philip Allen speaks with Priscilla Goudoin, Ruleguard’s Head of Risk and Compliance, to explore how financial services firms can refine their product governance frameworks to meet both MIFID II and Consumer Duty requirements. With the FCA placing renewed emphasis on demonstrating robust oversight and delivering good customer outcomes, this discussion highlights the practical steps firms can take to ensure their products are designed, distributed, and monitored effectively.
Wednesday Jan 15, 2025
Wednesday Jan 15, 2025
Streamlining CASS Compliance: Practical Tips and Key Takeaways
Staying on top of the FCA’s CASS obligations can feel like a monumental task for many firms. But as Katherine Leman, Co-Founder and Lead Trainer of the PIMFA CASS Academy, and Priscilla Goudoin, Ruleguard's Head of Risk and Compliance, discuss in this podcast, there are very practical steps you can take to ease the burden and maintain robust client asset protection.
Wednesday Jan 15, 2025
Wednesday Jan 15, 2025
Is a Clean CASS Audit Really Enough? Escaping the Complacency Trap
In this episode of the PIMFA Podcast, Katherine Leman, Co-Founder and Lead Trainer of the PIMFA CASS Academy, and Priscilla Goudoin, Ruleguard's Head of Risk and Compliance, share their strategies for getting ahead of risk, before it catches you out.
Wednesday Jan 15, 2025
Wednesday Jan 15, 2025
In this insightful session, compliance consultant Katherine Leman, Co-Founder and Lead Trainer of the PIMFA CASS Academy, and Priscilla Goudoin, Ruleguard's Head of Risk and Compliance, share practical tips to help you conquer your annual CASS audits.
Tuesday Jan 14, 2025
Tuesday Jan 14, 2025
In this episode of the PIMFA Podcast, host Philip Allen speaks with RuleGuard’s Head of Risk and Compliance, Priscilla Goudoin, about the FCA and PRA’s perspective on AI in financial services.
They discuss key AI benefits - such as efficient decision-making and improved service - alongside the potential risks, including data exploitation, bias, and algorithmic governance failures.
Priscilla also shares insights on how firms can demonstrate responsible AI use, maintain transparency, and meet regulatory expectations, particularly around consumer duty and product governance.
Tuesday Jan 14, 2025
Tuesday Jan 14, 2025
How do you provide assurance on your CASS controls?
Join Katherine Leman, co-founder and lead trainer at the PIMFA CASS Academy and Priscilla Gaudoin, head of Risk and Compliance at Ruleguard, as they talk about how you can take control of your CASS Controls.
Find out more about Controlling your CASS controls on the Ruleguard podcast page and download our infographic here.