Navigating Regulatory Changes for Investment Firms

Welcome to FinTalk, the leading podcast in the financial services industry that addresses the most pressing topics in the finance and regulatory technology sectors.

In this episode, our host Jawad Akhtar is joined by renowned industry expert Karishma Galaiya, Senior Manager at Thistle Initiatives. Together, they delve into the evolving regulatory landscape for investment firms, covering key areas such as the Senior Managers Certification Regime (SMCR), Consumer Duty, sustainability regulations, and diversity & inclusion expectations.

This episode of FinTalk covers:

- The positive impact of the SMCR on accountability and culture within the finance industry
 - The significant challenges posed by the Consumer Duty, particularly for firms unaccustomed to regulatory change
- The complexities surrounding sustainability regulations, including anti-greenwashing rules, ESG fund labelling, and data availability challenges
- The forthcoming diversity and inclusion expectations, proposed targets, and potential links to the SMCR