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Complete Guide to Governance – Part V: Trading

April 27, 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.

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

Details

Date:
April 27, 2022
Time:
8:00 am - 9:00 am

Venue

Webinar

Organiser

The Broker Club
Phone:
+447990561288
Email:
events@thebrokerclub.org
Website:
View Organiser Website

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