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The Impact of the FCA’s Consumer Duty on Broking Firms with Deloitte

Video Conference

Thursday 1st September 2022 at 8 AM, webinar with Deloitte.   Following the publication of the FCA’s final policy statement on Consumer Duty, this session will explore the potential impacts on Broking Firms and the likely challenges that may be faced during implementation.   Whilst the implementation date itself has been extended to July 2023, […]

Forensic Investigations with Rajani & Co.

Video Conference

Wednesday 7th September 2022 at 8 AM, webinar with Rajani & Co.   How to carry out an internal forensic investigation into potential breaches at your firm?   This webinar takes you through the steps considered by an investigation team: Planning and scoping the work Legal review Consider Expert Appointment Document review and analytics Witness […]

SM&CR Review with Leaman Crellin

Video Conference

Thursday 8th September 2022 at 8 AM, webinar with Leaman Crellin.   Reporting Breaches under SMCR Annual breach reports are due to the FCA between September and October. In this webinar, you will find out what you should be including in your breach reports and understand the risks of saying you have no breaches. Understand […]

Corporate Well-being with Rajani & Co.

Video Conference

Thursday 8th September 2022 at 4 PM, webinar with Rajani & Co.   We spend more than 1/3 of our day working and much of that time is spent sitting at our desks looking at screens. All too often we put off taking care of our own well-being until the body and mind start to […]

Digital Asset Forum Part 1: Market Overview

Eight Members Club Bank 1 Change Alley, London

Wednesday 14th September 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 […]

Operational Resilience with Aldbury International

Eight Members Club Bank 1 Change Alley, London

Thursday 15th September 2022 at 4 PM, at the Eight Club Bank.   Being operationally resilient is a business and regulatory imperative.   Whichever boxes you have ticked, should something go wrong, and you struggle to recover, you will be judged in hindsight by your clients and the regulators (all of them - anywhere in […]

Diversity and Inclusion (D&I) with BDO

Video Conference

Wednesday 21st September 2022 at 4 PM, webinar with Sasha Molodtsov and Jennifer Cafferky from BDO.   Diversity and Inclusion (D&I) promotes a range of experiences and perspectives which can reduce the risk of group-think, encourage innovation, and support safety.   Join our BDO experts for a briefing and discussion about: the FCA’s new D&I […]

Identifying & Managing Material Risk Takers in Commodities Markets in association with A.C.Culley & Co.

Eight Members Club Bank 1 Change Alley, London

Thursday 22nd September at 12:30 - 02:00 PM, at the Eight Club Bank.   THIS IS AN IN-PERSON LUNCHTIME EVENT AT EIGHT CLUB BANK.  REFRESHMENTS PROVIDED. In this in-person session, Alexander Culley, CEO of regulatory consulting firm A.C.Culley & Co, will draw upon his experiences as a senior compliance professional in commodities markets to analyse […]

General Regulatory Round-up with BDO

Video Conference

Wednesday 28th September 2022 at 8 AM, webinar with Adam Soilleux and Osita Egbubine from BDO.   In this interactive session, BDO’s regulatory specialists will talk about key regulatory developments impacting the broker community over the coming year for example: Environmental Social Governance (ESG) Reforms under the FSM Bill For those firms with retail or […]

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