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Difficult Conversations with the FCA: Self-Reporting with CMS Law

July 1, 2021 @ 8:00 am - 8:30 am

This session is the second in The FCA Difficult Conversations series, a five-part programme designed to give practical tips and guidance on how to manage some of the more challenging situations firms may find themselves in when engaging with the FCA.  Occasionally things don’t go to plan and there’s often a host of issues that firms need to consider at the outset to put themselves in the best position to maintain control of the issue, keep a good regulatory relationship and if possible, mitigate the prospect or scale of any supervisory or enforcement action.  The aim is to provide a checklist of action points for firms that they can take away.

If you would like to attend this video conference round table, please email: events@thebrokerclub.org

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


July 1, 2021
8:00 am - 8:30 am



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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.

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