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Handling an FCA Market Abuse Related Visit
September 23, 2020 @ 4:00 pm - 5:00 pm
The FCA has been making themed visits to firms on Transaction Reporting and STORs. The vast majority of firms want to manage an onsite visit in way that shows their business in the best possible light and leverage the opportunity to deepen their relationship with the regulator. This session from Leaman Crellin Limited will share their own experience as regulators and practitioners to provide the top tips for achieving success.
This is part of a series of round tables on market conduct, in conjunction with Leaman Crellin. If you would like to attend this video conference, or any others in the series please email: events@thebrokerclub.org