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Monthly Risk Forum: Is Consumer Duty the New Conduct Risk?

December 14, 2023 @ 4:00 pm - 5:00 pm

Thursday 14th December 2023 from 04:00 PM – 05:00 PM, Webinar


The Risk Forum is a regular monthly meeting for all risk managers, financial risk managers, and CFOs, to discuss specific risk concerns. We bring in consultancies and risk experts to contribute to the group. The Forum meets in the afternoon on the 2nd Thursday of each month, from 04:00 pm – 05:00 pm. The venue will vary between webinars and in-person at the Eight Members Club.

For this edition of the Risk Forum, Jon Ellis from PeopleClear will cover the key elements of the new Consumer Duty of Care regulations, and what firms need to look out for – aimed at both Retail and wholesale/institutional brokers.

An interactive session focusing on the new Consumer Duty regulations. Jon Ellis of PeopleClear Ltd, will highlight several hints and tips including:

  • Purpose of the Consumer Duty Regulation
  • Timeline and overview of structure
  • A more detailed look at the 4 Consumer Outcomes including:
    • requirements these place on firms
    • practical tips for compliance
  • Overview of SMCR Conduct Rule 6 and implications for firms
  • Q&A

Jon Ellis will be supported by Andrew Pullman, CEO of PeopleClear, and they will also use the opportunity to answer queries that attendees bring to the table.

PeopleClear are specialists in advising and training firms on the people impact of SMCR, and have also developed a SaaS product to help manage the whole process called PeopleClear SMCR.

To register to attend, complete the form below or email events@thebrokerclub.org.


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



December 14, 2023
4:00 pm - 5:00 pm
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The Broker Club


Eight Members Club Bank
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