December 2020
Brexit: An Update for Brokers with BDO
Ed Newman from BDO Ltd will lead the conversation on Brexit, giving an update for Broking firms. The round table will look at the legal and regulatory background to Brexit and will focus on permissions and authorisations. The discussion will then examine the impact on trading and reporting and finally look at the effect of Brexit on prudential regulation. To register for this video conference round table, please email: events@thebrokerclub.org
Find out moreJanuary 2021
Third Party Vendor Risk Management: Due Diligence and Tools with Eiger Regulatory Partners
A key theme in financial crime compliance risk continues to be AML/KYC controls. Firms generally have well established procedures for on-boarding clients. Firms often have less developed procedures and tools for completing initial and ongoing due diligence on third party suppliers and vendors. Eiger Regulatory Partners will present on this subject and introduce Albany Risk Intelligence to the Broker Community who are experts in risk management and workflow tools which can transform control. If you would like to attend this…
Find out moreEmotional Wellbeing for Compliance and Risk Professionals with Eiger Regulatory Partners
Firms need to do more to support emotional wellbeing in the workplace, particularly for corporate function colleagues who often have demanding roles. Many people are anxious about returning to the City and their offices. Therefore, Eiger Regulatory Partners will present on How to Improve your Mental Health During Lockdown. The session will cover: The importance of managing emotional wellbeing in the workplace (a practitioner’s view) and why it is even more important during lockdown Why emotional health is arguably the…
Find out moreA New Prudential Regime for Investment Firms in the UK with BDO
The EU prudential framework for investment firms is due to change substantially on 26 June 2021 with the implementation of the Investment Firm Directive and Regulation (“IFD/IFR”). This will be relevant to all firms with MiFID permissions. Post-Brexit, the UK will adopt an IFR-equivalent prudential regime, which introduces significant changes to capital adequacy and risk management for investment firms. Just to mention a few points of the reform, there will be a new prudential classification of firms, greater capital requirements,…
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