The FCA Priorities Buy-Side Report and SEC 2026 Examination Priorities highlight strong thematic alignment, despite differing supervisory approaches. This session will review outputs from recent regulatory publications, including comparison of the FCA Priorities Report and SEC Examination Priorities, and highlighting converging themes: conflicts and conduct, private markets, and operational resilience.

We will outline how each regulator assesses firms - the FCA through multi‑firm reviews and supervisory engagement, and the SEC through examinations - and what these approaches reveal about regulatory expectations.

The discussion will emphasise practical implications, including common areas of challenge, and the aim will be to provide a practical lens on evolving regulatory scrutiny, helping firms anticipate where questions and supervisory pressure are most likely to arise. 

This session is opened to managers only.

Speakers

• Allison Gill, Managing Director, RQC Group (New York)
• Camilla Cater, Senior Director, RQC Group (London)
• Richard Coulstock, Senior Consultant, RQC Group (London)

Sponsored by: