Capital Markets Regulatory Horizon Scanning 2024
Date: 23rd January 2024
Time: 10:00 am - 11:00 am
Hosted by: Martin Lovick & Nyansa Corrah
On 23rd January 2024, we hosted the first in the series of horizon scanning webinars, which looked at what's coming down the regulatory track for 2024, with a focus on the Capital Markets sector.
The objective of these webinars was to:
- highlight the key regulatory initiatives and reforms hitting firms and compliance departments in 2024;
- to share what we believe are key FCA priorities and any common themes we are seeing in FCA communications derived from our collective experience of working across multiple sectors; and
- to help enable participants to earmark resources to prepare for regulatory initiatives in good order.
The agenda below highlighted the main areas of focus for this webinar, in addition to other items covered from the FCA's regulatory initiative grid.
- Investment research review
- Sustainability disclosure and investment labels (SDR)
- Regulation of asset management
- SMCR review
This webinar is relevant for all firms within the Capital Markets space, including, Asset Managers, Wealth Managers, Investment Firms, Hedge Funds, Corporate Finance Providers, Brokers, Broker Dealers, Portfolio Managers, and Advice service providers.
Martin joined Cosegic in 2022 as Director of Capital Markets. He advises a wide range of financial institutions, including leading hedge fund and private markets managers, brokers and corporate finance firms. Prior to that, Martin Lovick was a Director within ACA Group’s Regulatory Consulting Practice.
Martin combines a decade of working at a top-rank consultancy with over 30 years of experience in front-office trading and investment management roles. In his career in compliance consultancy, he has been the lead relationship manager in both retained and project client engagements, as well as being seconded to several in-house compliance roles. Martin also played a leading role in developing responses to successive pieces of EU and UK legislation, notably AIFMD, the Market Abuse Regulation, MiFID II, SM&CR and IFPR. Martin’s clients value his advice for its practical good sense as well as it being firmly grounded in the obligations of the FCA Handbook and relevant legislation.
Nyansa is a Consultant within our Capital Markets team. As an experienced compliance professional, Nyansa has an adept knowledge of regulatory compliance. She supports the management of our clients’ day-to-day and adhoc compliance obligations, assisting with their ongoing compliance needs, including monitoring and health check reviews, variation of permissions applications, and the provision of regulatory advice and guidance.
Before joining Cosegic, Nyansa spent four years as the Compliance Officer and MLRO at Palm Management (UK) LLP. She was responsible for the successful FCA approval for Part 4A AIFM, NPPR approval for a Small Third country AIFM, and approved persons registrations. She gained a lasting knowledge and hands on experience of successful compliance management, regulatory reporting and preparation, and implementation and management of a robust compliance framework to ensure continued compliance with the evolving regulatory regime.
Nyansa qualified as a barrister from the Inns of Court School of Law, and holds degrees in Law, International Law w/ International Relations, Politics and Marketing & Management. She was more recently awarded the CISI qualifications in Global Financial Compliance, Introduction to Securities and Investment qualification, and is studying towards the CISI’s Sustainability qualifications.