Guardrails, Not Roadblocks: Employee Conflicts of Interest Monitoring in UK & EU Private Markets

Private markets are no longer niche – they represent more than $15.5 trillion globally and £1.2 trillion in the UK.

With rapid growth, however, comes sharper regulatory focus.

From the FCA’s push on valuation transparency and improved data, to the EU’s first systemic stress test of non-bank financial institutions, firms face mounting pressure to get their house in order. 

Couple that with FCA’s sector-wide strategic focus on combating market abuse, firms need to ensure they are getting basics right on conflicts of interest, insider information and conduct risk.

Join us for this webinar as we unpack: 

• Best practices for personal account dealing and insider information controls 
• How compliance culture and market abuse risk go hand in hand 
• Common pitfalls that create friction for front-office teams 
• How smart automation can transform oversight from a burden into a business enabler 

You’ll leave with practical insights and real-world examples to strengthen your compliance guardrails – without slowing down growth. 

GRC 20/20 Presenter . . .

Michael Rasmussen is an internationally recognized authority, thought leader, and pioneer in the disciplines of governance, risk management, and compliance (GRC). With over 30 years of experience, he is globally known for defining and shaping GRC strategy, processes, and technology. In February 2002, while at Forrester Research, Michael developed the concept of GRC — establishing the foundation for how organizations approach strategy, process, and technology in today’s complex business environment. For this, he is widely acknowledged as the “Father of GRC.”

A trusted advisor to boards, executives, and professionals around the world, Michael has dedicated his career to helping organizations design and implement effective GRC strategies that are aligned with business objectives. His work empowers organizations to be more effective, efficient, resilient, and agile. He is a sought-after keynote speaker, author, and advisor, with his thought leadership influencing legislation, regulatory frameworks, and corporate best practices globally.

Michael is the host of the Risk is Our Business and the Hitchhiker’s Guide to the GRC Technology podcasts, where he leads conversations with global experts exploring the evolving frontiers of risk, resilience, and corporate integrity.

Conference Host . . .

At COMPLY, we pride ourselves on being the champion for compliance professionals. Through technology, consulting and education, we help clients navigate the ever-changing regulatory environment, end to end. Our deep industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes (SEC, FINRA, FCA, State) – supports more than 5,000 clients in more than 60 countries, including investment banks, private funds (including private equity firms and hedge funds), broker-dealers, registered investment advisers, insurance, and other financial services firms.