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Dear CEO letter – 3 years on….Part II

March 24 @ 4:00 pm - 5:00 pm

The second in our series run in association with market conduct specialist and former senior FCA regulator David Blunt will review – 3-plus years on from its publication – progress, changes and challenges arising from the Dear CEO letter to Wholesale Brokers.

In this session, we will explore:

  • Broker Remuneration – what does the FCA care about?
  • What should firms think about when considering renumeration schemes?
  • Capacity & Conflicts of Interest – what do firms need to think about?
  • How should firms tackle the challenges faced?
  • Financial Crime controls – how are these focused on business models?
  • How does all of the above come back to SM&CR and culture – how firms are run and the responsibilities of the senior managers

This virtual event is an opportunity for participants to share experiences and gain up to date insight from industry experts.  To join us, please register below.

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

Details

Date:
March 24
Time:
4:00 pm - 5:00 pm

Venue

Virtual Event
United Kingdom

Organiser

The Broker Club
Phone:
07990 561288
Email:
events@thebrokerclub.org

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