Information Barriers - A Practical Guide to Meeting FCA Requirements

Introduction

In January 2025 the FCA confirmed that they will not set out any detailed rules around the use of WhatsApp for unauthorised business communications, but this is most definitely not the beginning of a free for all in how we communicate and share data.

Firms will still be expected, as a foundation of acting appropriately, to ensure that appropriate data is limited and restricted to only those who actually need it.

This covers several key regulatory supervisory themes such as AML controls, insider trading, and conflicts of interest.

At its heart, this means effective ‘information barriers’ or controls which stop people accessing data that is sensitive.

These metaphorical barriers are used to prevent conflicts of interest and maintain confidentiality within organisations, particularly in financial, legal, and corporate settings.

They help ensure ethical conduct, regulatory compliance, and the integrity of decision-making.

This short webinar looks at what they mean in practice, why they are important, practical steps to meet these requirements, and how to build a robust framework around their use and application.

It is suitable for compliance professionals, legal counsel, risk managers, and operations staff across all sectors of financial services.

While reference is made to the UK financial services regulatory environment, the principles of building compliant frameworks are common across multiple jurisdictions.

What You Will Learn

The webinar will cover the following:

• What is meant by ‘information barriers’?
• The crucial role of information barriers in maintaining market integrity, protecting client confidentiality, and ensuring fair competition
• Key regulations and focus areas plus the consequences of non-compliance
• Practical steps for achieving compliance, including:
• Risk assessment
• Policy development
• Technical controls
• Organisational structure and segregation of duties
• Training and communication
• Monitoring and review

This pre-recorded webinar will be available to view from Friday 2nd May 2025

Alternatively, you can gain access to this webinar and 1,700+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.