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January 2022

ESG: Strategies & Challenges – in association with BDO Consulting

January 26 @ 4:00 pm - 5:00 pm
Virtual Event United Kingdom

In this 2-part series, BDO Consulting will address the challenges of ESG goal setting and accountability, and specifically regulatory/supervisory body expectations in respect of active board oversight, workplace diversity, climate challenge risk, supply chains and  applying learning from COP 26 to your firm's ESG programmes. The first session will be a virtual event - with a follow-up in-person event on 2 February where participants can participate in an interactive session, sharing experiences and challenges in a direct conversation with industry…

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MAR Control Framework in association with RegRisk Consulting

January 27 @ 4:00 pm - 5:00 pm
Virtual Event United Kingdom

In this session, Steven Nash, Partner at RegRisk Consulting  and expert on the Market Abuse Regime will talk about  MAR control frameworks and assurance. To join this event, please register below.

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February 2022

ESG: Strategies & Challenges – in association with BDO Consulting

February 2 @ 4:00 pm - 5:00 pm
Virtual Event United Kingdom

In this 2-part series, BDO Consulting will address the challenges of ESG goal setting and accountability, and specifically regulatory/supervisory body expectations in respect of active board oversight, workplace diversity, climate challenge risk, supply chains and  applying learning from COP 26 to your firm's ESG programmes. THIS WILL NOW BE A VIRTUAL EVENT Register below to join this event. About BDO  As one of the world’s largest accountancy networks, BDO's Advisory Practice provides corporate finance and transaction services, business restructuring, forensic…

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Corporate Governance: Undertaking a Risk Assessment – in association with Effecta Compliance

February 9 @ 4:00 pm - 5:00 pm
Virtual Event United Kingdom

In this session, regulatory compliance experts  Effecta Compliance will provide information and guidance around undertaking a board assessment. To join this event, register below. About Effecta Effecta works with financial services firms helping them to manage and implement changes driven by new regulations and strategic risk management objectives. Our consultants are all industry practitioners who understand the pressures and obligations of regulated firms as well as those registered as Compliance Officer, MLRO’s and Senior Managers and we are there to…

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New Year Member Networking at Eight Club, Bank

February 10 @ 5:30 pm - 7:30 pm
Eight Members Club Bank, 1 Change Alley
London, EC3V 3ND United Kingdom
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The Broker Club cordially invites Members to join us at Eight Club, Bank, for a New Year networking event.  To join us on 10 February, RSVP (register) below or contact sally.jones@thebrokerclub.org. We are very much looking forward to seeing our members and supporters again in person, and hope you will be able to join us.  

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Operational Resilience & Impact on Clients – in association with Aldbury International

February 16 @ 4:00 pm - 5:00 pm
Eight Members Club Bank, 1 Change Alley
London, EC3V 3ND United Kingdom
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Join us on 16 February to learn what forthcoming regulations mean for ‘in' and ‘out of scope’ firms, what brokers need to know and how getting it right can enhance business opportunities.  Charles Taylor, Chris Goodeve-Ballard and Robin Hamilton from Aldbury International, experts in all aspects of operational resilience and crisis management, will talk through their experiences and the organisational and commercial benefits of implementing 'best practice'. Please note that this is an in-person event followed by networking drinks.  Please…

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Understanding and bridging the differences between US and UK regulations – in association with Effecta Compliance

February 23 @ 4:00 pm - 5:00 pm
Virtual Event United Kingdom

To join this event, register below.

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Regulatory Update – in association with Deloitte

February 24 @ 8:00 am - 9:00 am
Virtual Event United Kingdom

Join Terry Sahathevan and the team from Deloitte for their informed review of –  and insights into – recent updates and announcements from the FCA and other financial markets regulatory and supervisory bodies. To join us at this event, please register using the form below.

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Global FX Code: What it is, what FCA expects from firms – in association with Leaman Crellin

February 24 @ 4:00 pm - 5:00 pm
Eight Members Club Bank, 1 Change Alley
London, EC3V 3ND United Kingdom
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In this in person event at Eight Club, Bank, Katharine Leaman from regulatory compliance specialists Leaman Crellin will review the Global FX Code of Conduct (including latest revisions/updates) and discuss what is expected from firms by the FCA with respect to Code compliance. To join this event, register below:  

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March 2022

Complete Guide to Governance – Part I: SYSC (Systems and Controls)

March 2 @ 8:00 am - 9:00 am
Virtual Event United Kingdom

In this comprehensive and educational 5-part series, financial markets compliance specialists Leaman Crellin will provide a thorough grounding in Governance - what it means, why it's growing in importance, how it is 'measured' (by regulators/supervisors/clients/partners and all participants in financial markets 'supply chains') and what broking firms need to be thinking about - and doing - to meet governance challenges and obligations. This exclusive 5-part series will cover all aspects of governance for broking firms: 2 March - Part I…

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