Upcoming Broker Club Events

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…

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

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

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…

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…

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…

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…

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