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November 2021

COO Club – Focus on Regulatory/Transaction Reporting – in association with Deloitte

November 18, 2021 @ 4:00 pm - 5:00 pm
Virtual Event United Kingdom + Google Map

The COO Club is our invitation-only forum for COOs, Heads of Operations and other senior operational leaders in broking firms.  In our Q4 2022 session, the last of the year, Chris Taylor from Deloitte will lead a discussion on Regulatory Reporting/Transaction Reporting obligations and the challenges firms face in getting this right. Senior operations leaders from broking firms are welcome to join the COO Club.  This forum meets quarterly and is an excellent opportunity to  share - and benefit from…

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Regulatory Update in association with Deloitte

November 25, 2021 @ 8:00 am - 9:00 am
Video Conference

Join Terry Sahathevan and the team from Deloitte for their informed review of –  and insights into – recent updates and announcements from FCA and other financial markets regulatory and supervisory bodies.  This week Terry and colleagues will be looking particularly at the UK regulatory pipeline, post Brexit. To join us at this event, please register using the form below.

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December 2021

HR Good Practice: Investigations/Disciplinary Action in association with Winckworth Sherwood LLP

December 1, 2021 @ 4:00 pm - 5:00 pm
Virtual Event United Kingdom

Jo Keddie, Senior Partner & Head of Employment and James Duncan, Partner from law firm Winckworth Sherwood LLP review good practices for HR teams at broking firms with particular respect to investigations and disciplinary proceedings. Register here to join this event; don't forget to add it to your calendar using the relevant button below. A full-service law firm with a diverse client base, Winckworth Sherwood prides itself on providing market-leading advice across a broad range of sectors and markets.  Its…

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Transaction Reporting Clinic in association with RegRisk Consulting

December 2, 2021 @ 4:00 pm - 5:00 pm
Virtual Event United Kingdom

RESCHEDULED FROM 24 NOVEMBER Join our Transaction Reporting Clinic where Nik Volpe, Transaction Reporting specialist at RegRisk Consulting will provide an insightful overview of current transaction & regulatory reporting requirements and answer your regulatory reporting questions. Register below to join this event - and make sure to add it directly to your calendar using the link(s) below. RegRisk Consulting is a specialist, independent management consultancy providing expertise and advice on Regulatory Change & Operations and Regulatory, Financial Crime and Privacy…

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NOW 16 FEB 2022 Operational Resilience & Impact on Clients – in association with Aldbury Capital

December 8, 2021 @ 4:00 pm
Eight Members Club Bank, 1 Change Alley
London, EC3V 3ND United Kingdom
+ Google Map

PLEASE NOTE THAT THIS EVENT HAS BEEN POSTPONED TO WEDNESDAY 16 FEBRUARY 2022 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'.…

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Regulatory Update in association with Deliotte

December 9, 2021 @ 8:00 am - 9:00 am
Video Conference

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.  In this session Terry will review key regulatory events in 2021 and will look ahead at the regulatory landscape in 2022. To join us at this event, please register using the form below.

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CANCELLED – ESG for Brokers – overview in association with HKB Risk Consulting

December 15, 2021 @ 4:00 pm - 5:00 pm
Virtual Event United Kingdom

CANCELLED - CHECK OUT OUR NEXT ESG EVENTS IN EARLY 2022 HKB Risk Consulting will review what ESG policies and governance look like for broking firms in light of increased regulatory focus on environmental, social and governance (ESG) investing. Register now to join this event - and don't forget to add it to your calendar! HKB Risk Consulting provides tailored consulting and advisory services to financial firms. With a focus on risk, regulation and finance it  helps firms get the…

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January 2022

Industry event with STA & ACI UK: Panel Debate – The Outlook for Crypto 2022

January 11 @ 6:30 pm - 7:30 pm
Virtual Event United Kingdom

Register directly to join this meeting here: https://us02web.zoom.us/webinar/register/WN_tQYJZQ6pTy2KSQInCM6fuw Join the STA, ACI UK and The Broker Club for what promises to be an interesting and lively debate where technical and fundamental analysts will give their view on the Outlook for Crypto in 2022. THIS IS NOW A VIRTUAL EVENT (ZOOM) - PLEASE REGISTER DIRECTLY AT THIS LINK Our panel of experts - representing  fundamental and technical analysis perspectives - will provide expert input on key issues that will influence and…

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Regulatory Update in association with Deloitte

January 20 @ 8:00 am - 9:00 am
Virtual Event United Kingdom

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

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Developments in AI for Trade Surveillance in association with Features Analytics

January 20 @ 4:00 pm - 5:00 pm
Virtual Event United Kingdom

Market abuse regulation (MAR) obliges those operating in financial markets (Equities, Foreign Exchange, Fixed Income, Commodities et al) to surveil trade activities to identify - and report - activity that constitutes market abuse.  A key challenge is ensuring that surveillance programmes detect and report effectively across all asset classes in which a firm may operate.  Another, is leveraging surveillance data to pro-actively identify patterns of abuse and take appropriate preventative action.  This session will explore developments in the application of…

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