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Monthly Risk Forum: Prudential Regulation Technology Session with PwC

October 12, 2023 @ 3:00 pm - 4:30 pm

Thursday 12th October 2023 from 03:00 PM – 04:30 PM, at Eight Club Bank.


The Risk Forum is a regular monthly meeting for all risk managers, financial risk managers, and CFOs, to discuss specific risk concerns. We bring in consultancies and risk experts to contribute to the group. The Forum meets in the afternoon on the 2nd Thursday of each month. The venue will vary between webinars and in-person at the Eight Members Club.

For October, Prudential Regulation Colleagues from PwC will be discussing technology in relation to dealing with prudential tics, including in response to IFPR.

The UK regulatory agenda is both broad and active at present. The Government has proposed a wide range of regulatory reform initiatives (e.g. through the Smarter Regulatory Framework and Edinburgh Reforms packages) and the regulators are focusing on cross-cutting as well as sector-specific topics (e.g. financial resilience and risk management, systems and controls, ESG, diversity and inclusion, and technological change) which is likely to involve a resurgence in their supervisory activities.

Investment firms need to stay on top of this changing landscape and be ready to demonstrate their compliance with the applicable rules. This event will delve into the evolving regulatory landscape for investment firms and shed light on how the use of technology can enhance compliance and increase operational efficiency.

PwC Speaker Profiles:

  • Jamie Baughan: Jamie is a Director within our Prudential Regulatory Reporting Team. His experience includes leading both regulatory review and remediation projects within PwC, as well as industry experience working within the policy function of an international broker-dealer. Jamie additionally leads PwC’s prudential technology forum and has broader responsibility for digital products within the Financial Services Business Risk & Controls business unit.
  • Lucy Dean: Lucy is one of PwC’s most experienced Directors in delivering reviews (including assurance and s166 skilled persons reviews) over prudential regulatory reporting for banks and investment firms. Lucy also sits on our senior Prudential Regulatory Technical Panel which opines on complex technical interpretations on prudential matters. 
  • Claire Lawrie: Claire is a Senior Manager in PwC UK’s financial services regulatory insights team. Claire focuses on wholesale banking and capital markets regulatory issues and supports PwC’s clients in understanding developments in the UK and globally. Claire recently joined PwC from the FCA, where she worked in wholesale supervision, international policy-making, and communications roles, and has engaged extensively with global-level standard-setting bodies on a wide range of topics.
  • John Lim: John is a Senior Manager in PwC’s Digital Product Solutions team. He is a data translator who bridges the divide between technical details and decision-makers to focus on the execution of digital strategies. John has a proven track record of delivering digital solutions to organisations across diverse industries, including financial services, government, healthcare, energy, and many others. He possesses a strong background in design thinking and serves as one of the co-leads for our products business.
  • Moses Babatunde: Moses is a Senior Manager in PwC’s Banking Prudential team. He works extensively with banks and investment firms to uplift the processes and control environment supporting regulatory reporting. Moses is keen to unlock value for firms by leveraging technology to enhance the regulatory reporting process and improve stakeholders experience, including through enhancing collaboration in the production of regulatory documents (e.g. ICARA documents).
  • Emily Read: Emily is a member of PwC’s Banking Prudential team, primarily working in the section 166 space (both assurance and advisory aspects), as well as quality assurance. More recently, she has been actively involved in the digital sphere, exploring opportunities to implement efficiencies across a variety of clients. An example of her work in this area is her utilisation and implementation of the End User Computing Analytics (EUCA) tool.
  • Jacob Yoon: Jacob is a member of PwC’s Banking Prudential team. He is a digital SME who is motivated by implementing regulatory technology to support firms in aligning with the FCA’s agenda to foster innovation in the financial industry. Among other areas, Jacob is exploring how harnessing the power of Generative AI, can streamline and enhance regulatory processes. 

To register to attend, complete the form below or email events@thebrokerclub.org.


Registrations are now closed for this event - contact events@thebrokerclub.org for more information



October 12, 2023
3:00 pm - 4:30 pm
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The Broker Club


Eight Members Club Bank
1 Change Alley
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