Loading Events

All Events

  • This event has passed.

The Role of Introducing Brokers: FCA scrutiny, in conjunction with Leaman Crellin

July 15 @ 8:00 am - 9:00 am

The FCA has the role of introducing brokers under scrutiny, and has highlighted that brokers should be wary of the methodology that their introducing brokers are using when communicating with clients.  The FCA goes on to state they should apply adequate due diligence procedures when selecting their introducing brokers and eliminate any conflicts of interest arising from the arrangements that are made with the brokers.

Katharine Leaman, from Leaman Crellin, will be sharing her experience as a policy maker at the regulator and compliance practitioner as we discuss this topic that is especially relevant to CFD providers.

If you would like to attend this video conference, please email: events@35.178.113.18

Details

Date:
July 15
Time:
8:00 am - 9:00 am

Venue

Video Conference