Loading Events

All Events

  • This event has passed.

Complete Guide To Governance – Part II: SMCR Management & Reporting

March 23 @ 8:00 am - 9:00 am

In this comprehensive and educational 5-part series, financial markets compliance specialists Leaman Crellin will provide a thorough grounding in Governance – what it means, why it’s growing in importance, how it is ‘measured’ (by regulators/supervisors/clients/partners and all participants in financial markets ‘supply chains’) and what broking firms need to be thinking about – and doing – to meet governance challenges and obligations.

This exclusive 5-part series will cover all aspects of governance for broking firms:

  • 2 March – Part I – SYSC (Systems and Controls)
  • 23 March – Part II – SMCR management and reporting
  • 30 March – Part III – MiFID
  • 13 April Part IV – Vendor Management and Outsourcing
  • 27 April – Part V – Trading

Click on event links to register to join individual events.   To pre-register for ALL events in the series, click here.

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

Details

Date:
March 23
Time:
8:00 am - 9:00 am

Venue

Virtual Event
United Kingdom

Register Today

The broker club is an exclusive club for brokers active within financial markets. The club is particularly relevant for senior management, front and back office, risk/compliance and IT.

Click here to register