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March 2021

Efficiencies in Regulatory Reporting: IFR from a Practical Perspective with Bearing Point

March 10 @ 4:00 pm - 5:00 pm
Video Conference

The IFR/IFD introduces new classifications for investment firms with new requirements for each class of investment firm and with some firms being treated as credit institutions whilst imposing capital, consolidation, reporting, governance and remuneration requirements on others.  In this session we will provide a deep dive into the topic with a view of how the data can all be sourced from a granular data model and shield firms from what could be a significant change to their reporting. This session,…

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Regulatory Update with Deloitte and Focus on ESG and Sustainability

March 11 @ 8:00 am - 9:00 am
Video Conference

Terry Sahathevan and the Financial Services team from Deloitte will run through the fortnightly regulatory update, sharing insight on the latest publications from the FCA as well as other news. The discussion will then focus on environmental, social and corporate governance and sustainability. To register for this video conference round table, please email: events@thebrokerclub.org

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

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

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…

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Efficiencies in Regulatory Reporting: Synergies in Transaction Reporting with Bearing Point

March 17 @ 4:00 pm - 5:00 pm
Video Conference

Over the last years there has been a wave of reporting requirements imposed by the likes of EMIR, MMSR, MiFID and SFTR, with a myriad of firms offering point solutions for each regulation.  In this session we will discuss how a single model is able to cater for all transaction reporting requirements and the synergies that such a model can provide both in regard to implementation as well as daily reporting. This session, the third in the four part series,…

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CASS with Leaman Crellin

March 18 @ 8:00 am - 9:00 am
Video Conference

This session from Leaman Crellin will discuss the FCA’s current priorities and focus for firms holding client assets and monies, including changes arising from Brexit. If you would like to attend this video conference round table, please email: events@thebrokerclub.org    

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Future-Proofing your Firm: Scrutinised vs. Empowered – Changing Perceptions Flipping Mindsets

March 18 @ 4:00 pm - 5:00 pm
Video Conference

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 II: Scrutinised vs. Empowered – Changing Perceptions, Flipping Mindsets Why making governance focused corporate culture & accountability a core business focus will pay off dividends in the medium and long term. In difficult and challenging environments, there is huge opportunity to embrace change. What 2020 proved is the world…

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Efficiencies in Regulatory Reporting: The Move to Utilities and the Art of the Possible with Bearing Point

March 24 @ 4:00 pm - 5:00 pm
Video Conference

With a high level of standardisation BearingPoint have been able to embrace industrialisation both in regards to their own products and services with their Factory offering, but also through the provision of Regulatory Reporting Utilities such as AuRep, a central reporting utility used by virtually all Banks in Austria.  In this session BearingPoint will provide an overview of both how they have found synergies in their approach and how these synergies can be adopted at a wider level with the…

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Regulatory Update with Deloitte

March 25 @ 8:00 am - 9:00 am
Video Conference

Terry Sahathevan and the Financial Services team from Deloitte will run through the fortnightly regulatory update, sharing insight on the latest publications from the FCA as well as other news. To register for this video conference round table, please email: events@thebrokerclub.org

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Future-Proofing Your Firm: FinTech, RegTech, FutureTech – Let’s Cut the Cr*p

March 25 @ 4:00 pm - 5:00 pm
Video Conference

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 III:  FinTech, RegTech, FutureTech – Let’s Cut the Cr*p Case studies, experiences and musings on what tech is actually needed to run a resilient, compliant, and cost-efficient firm in 2021. London is projected to be the next ‘Silicon Valley’ over the coming decade, with the FinTech and…

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The Current Landscape of Regulatory Change: Brexit, Covid, Connaught & London Capital: the Future of UK Financial Regulation with CMS LLP

March 31 @ 8:00 am - 9:00 am
Video Conference

Simon Morris and Alison McHaffie, from CMS LLP, lead our discussion on the the current landscape of regulatory change. This session will cover: The post-Brexit opportunities the Government is seizing to streamline UK regulation The PRA’s and the FCA’s refreshed priorities – a mix of business as usual plus some new themes The FCA’s renewed approach to culture and fairness, accelerated by its pandemic experience A surer focus on senior manager responsibility How the two Christmas-Eve reports of failed regulation…

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