Complete Guide to Governance – Part V: Trading

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.