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Future-Proofing Your Firm: How to Remain Compliant During Remote Working

March 11 @ 4:00 pm - 5:00 pm

Fingerprint Supervision lead our series: Future-Proofing Your Firm: Navigating Through 2021 and Beyond, a four-part series delving into the nitty-gritty of how to operate a resilient, compliant and growth-focused in 2021.

 

PART 1:  Market Watch 66 Review – How to Remain Compliant During Remote Working

 

Why are the FCA so concerned about the risks presented by employees working from home, and the wider risk this poses to markets, investors, and clients? How far will the FCA go to ensure that firms are monitoring and supervising their employees effectively? What are the consequences of not tackling the regulators new concerns? How can your firm pivot and thrive in this ‘new normal’?

Katharine Leaman, Managing Director of Leaman Crellin Limited, will chair our panel of industry experts:

 

James Hogbin, Founder and CEO of Fingerprint

Alex Duperouzel, Managing Director at ComplianceAsia

Jon Carp, Director at Finceler8 Limited, The Broker Club and Fncrowd

 

To register for this video conference round table, please email: events@thebrokerclub.org

Registrations are closed for this event

Details

Date:
March 11
Time:
4:00 pm - 5:00 pm

Venue

Video Conference