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

Navigating Regulatory Focus on Valuation, Market Abuse, and Conduct Risk

Private markets have evolved from niche investment vehicles to a $15.5 trillion global industry, with £1.2 trillion in the UK alone. This rapid growth has attracted sharper regulatory scrutiny, creating mounting pressure on firms to strengthen their compliance frameworks. This webinar addresses the evolving regulatory landscape, from the FCA's emphasis on valuation transparency and improved data to the EU's first systemic stress test of non-bank financial institutions, while examining practical strategies for managing market abuse and conduct risk.

Why Attend

The FCA's sector-wide strategic focus on combating market abuse requires firms to ensure they have robust foundations for managing conflicts of interest, insider information, and conduct risk. As regulatory expectations intensify alongside industry growth, organizations need practical approaches to strengthen compliance guardrails without impeding business momentum. This session provides actionable insights for balancing regulatory requirements with operational efficiency through smart automation and effective oversight frameworks.

Key Learning Areas

Participants will explore practical strategies for enhancing private markets compliance:

• Personal Account Dealing Controls: Best practices for managing personal trading activities and preventing conflicts of interest
• Insider Information Management: Implementing effective controls for handling material non-public information
• Compliance Culture: Understanding how organizational culture and market abuse risk management intersect and reinforce each other
• Operational Friction: Identifying and addressing common compliance pitfalls that create unnecessary burden for front-office teams
• Smart Automation: Leveraging technology to transform compliance oversight from operational burden into business enabler
• Regulatory Alignment: Meeting FCA expectations for valuation transparency, data quality, and conduct standards

What to Expect

This webinar delivers practical insights and real-world examples to help private markets firms strengthen their compliance frameworks while maintaining growth trajectories. Participants will learn how to build effective guardrails that satisfy regulatory requirements without creating excessive friction for investment teams, using automation and process optimization to make compliance a strategic advantage rather than an operational constraint.