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Complete Guide to Governance – Part III: MiFID
March 30, 2022 @ 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.