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Recent Regulatory Actions – what we can learn from it.

Webinar

This webinar, led by Effecta Compliance will review the recent regulatory action taken by the FCA, including some of the fines and discuss what broking firms can learn from it. To join this event register here

Quarterly Tax Update with PwC

Eight Members Club Bank 1 Change Alley, London

PwC lead a discussion on all things tax related for broking firms.  This event will focus on: General tax update given the ongoing economic environment UK EU divergence and potential future direction of travel The current tax dispute environment and how to navigate potential disputes with HMRC VAT updates from the PwC specialist Transfer pricing […]

Consumer Duty Toolkit for Retail and other Broking firms

Video Conference

C&G Regulatory Solutions is offering members of the Broker Club a 20% discount off the RRP of its Consumer Duty Toolkit. The Toolkit is designed to help firms involved in the manufacture and distribution of retail products and services achieve compliance with the Consumer Duty in a way that is proportionate and cost effective. The Toolkit is comprised […]

The New Working Model – Are you aware of all the Risks?

Webinar

Many firms post COVID have reverted to a hybrid working model with staff working from various locations, sometimes full time.   This presents firms with several risks and in some instances (where staff are working overseas) could be in breach of tax or regulatory and compliance issues. In this webinar Effecta Compliance will review options and […]

Digital Asset Forum Part 4: Regulation

Eight Members Club Bank 1 Change Alley, London

Wednesday 14th December 2022 at 4 PM, at the Eight Club Bank.   A collaboration between The Broker Club, ACI UK, and The Society of Technical Analysts. Meeting on the second Wednesday of every month, The Digital Asset forum will aim to encompass everything a firm needs to know about offering digital assets to their […]

Register Today

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.

Click here to register