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September 2020

Modelling with Monte Carlo Plus

September 23 @ 8:00 am - 9:00 am
Video Conference

Following on from the Prudential Capital Requirements round table, Dr Mustafa Cavus, from Monte Carlo Plus, will lead our discussion on firms can use modelling, both scenario and correlation based, to use their capital more efficiently. Within investment management and brokerage industry, relevant data for operational risk modelling is hard to find, though 60-70% of the prudential capital requirement relates to operational risk. The majority of the historical loss data relates to minor loss amounts and most of these are…

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Handling an FCA Market Abuse Related Visit

September 23 @ 4:00 pm - 5:00 pm
Video Conference

The FCA has been making themed visits to firms on Transaction Reporting and STORs. The vast majority of firms want to manage an onsite visit in way that shows their business in the best possible light and leverage the opportunity to deepen their relationship with the regulator. This session from Leaman Crellin Limited will share their own experience as regulators and practitioners to provide the top tips for achieving success. This is part of a series of round tables on market…

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Regulatory Update with Deloitte and a Focus on Conflicts Frameworks

September 24 @ 8:00 am - 9:00 am
Video Conference

Terry Sahathevan and the team will provide their fortnightly regulatory update. Daniela Strebel, Associate Director, will then lead the discussion on conflicts of interest frameworks. If you would like to attend this video conference, please email: events@thebrokerclub.org

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AML with 3 Lines of Defence Consulting Ltd.

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

It is always better to learn from the mistakes of others. In this workshop Nicky Cosh, of 3 Lines of Defence Consulting Ltd, will look at the lessons to be learned from the Commerzbank, London Branch AML enforcement action, and the renewed focus by regulators across Europe on AML compliance following fines by ESMA. If you would like to join this video conference, please email: events@thebrokerclub.org

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Market Abuse Reporting Obligations

September 30 @ 4:00 pm - 5:00 pm
Video Conference

Reporting forms a cornerstone of the FCA’s ability to detect and prevent market abuse. The FCA has repeatedly expressed its disdain at the quality of firms regulatory reporting. This session from Leaman Crellin Limited will cover the four areas of regulatory reporting under the market abuse regime: STORs, PDMRs, Delaying disclosure of inside information, and, Buy-back transactions and stabilisation activity notifications. This is part of a series of round tables on market conduct, in conjunction with Leaman Crellin. If you…

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October 2020

How Stream Can Achieve P&L and Risk Reports in Real-Time with Continuously Reconciled Front Office, Back Office and Finance

October 1 @ 4:00 pm - 5:00 pm
Video Conference

Stream Financial will present how firms can use live information across every layer of their organisation, without a large IT investment, to give a real time overview of P&L, front office and brokerage income. Gavin Slater presents a Case Study illustrating the process which achieved rapid delivery of live information to all the management inside an international broker without significant change to IT infrastructure. The talk will show examples of automated reporting including analytics for live Risk and P&L and will…

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The Impact of COVID 19 on the Workplace with Meatby & Co.

October 7 @ 8:00 am - 9:00 am
Video Conference

Chris Marshall, an ex broker now turned employment lawyer working for a city firm, Meaby & Co., will lead our discussion on the impact of Covid 19 on employers' obligations to their workforce and whether employees' rights and obligations have changed. Government guidance changes frequently in relation to these, and it may seem hard to keep abreast of those. But it is not only the government which influences the above.  For instance, ACAS has also released updated guidance on redundancy…

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Market Abuse Themes

October 7 @ 4:00 pm - 5:00 pm
Video Conference

Preventing, detecting and punishing market abuse is a high priority for the FCA. It protects consumers, enhances the integrity of markets and promotes competition. This session from Leaman Crellin Limited will discuss the key prosecutions, and why they were key, and how FCA has adapted its approach to market abuse. This is part of a series of round tables on market conduct, in conjunction with Leaman Crellin. If you would like to attend this video conference, or any others in the series…

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Regulatory update in conjunction with Deloitte and a Focus on Best Execution

October 8 @ 8:00 am - 9:00 am
Video Conference

Terry Sahathevan and the team will provide their fortnightly update. Stephane Blais, from Deloitte, will then lead the discussion on Best Execution. If you would like to attend this video conference, please email: events@thebrokerclub.org

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SM&CR with WorkSmart

October 14 @ 8:00 am - 9:00 am
Video Conference

Industry experts from WorkSmart will lead this round table which will look at the challenges of effectively operationalising SM&CR and driving business benefits out of BAU activity. Agenda: SM&CR – Driving culture change in Financial Services Enhancing Governance through SM&CR Certification – The competence challenge The Directory FCA Expectations If you would like to attend this video conference, please email: events@thebrokerclub.org

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