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September 2020

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 access and use information across every layer of their organisation, without a large IT investment, to give a real time overview of P&L, risk, and brokerage income for desk to firm- wide reporting. Gavin Slater will present a case study illustrating the process which achieved rapid delivery of live information to all the management inside an international broker with no change to IT infrastructure. The talk will show examples of automated reporting including…

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The Impact of COVID 19 on the Workplace with Meaby & 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, 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…

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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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Ways of Detecting and Preventing Market Abuse

October 14 @ 4:00 pm - 5:00 pm
Video Conference

Preventing, detecting and punishing market abuse is a high priority for every firm. It protects your clients, enhances the integrity of your firm as it operates in the markets and keeps you in the competition. But how do you detect and prevent market abuse from happening in your organisation which may not have vast resources and big teams dedicated to specific controls? This session from Leaman Crellin Limited will discuss the key controls for detection and prevention of market abuse…

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AML with Martin Woods

October 15 @ 8:00 am - 9:00 am
Video Conference

Martin Woods will lead our discussion on anti-money laundering. Martin Woods is  one of the world’s leading AML commentators. Best known as the “Wachovia Whistleblower”,  Martin was formerly a Metropolitan Police Officer and latterly the Head of Financial Crime at Thomson Reuters. The discussion will focus on what we can learn from past and ongoing cases and how the disciplines of Know Your Customer (KYC) and Anti-Money Laundering (AML) can prevent past mistakes being repeated.   If you would like…

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Cyber Security in the New “Covid” Reality with 3 Lines of Defence Consulting Ltd.

October 15 @ 4:00 pm - 5:00 pm
Video Conference

Kevin Taylor, Senior Director (Associate), 3 Lines of Defence Consulting Ltd will examine Cyber Security in the "new normal". The agenda will cover: Key new threats What measures to take How to maintain and improve protection If you would like to attend this video conference round table, please email: events@thebrokerclub.org

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How to Manage a Potential Market Abuse Situation

October 21 @ 4:00 pm - 5:00 pm
Video Conference

You know that preventing, detecting and punishing market abuse is a high priority for the FCA but what happens when you spot something within your firm? This session from Leaman Crellin Limited will discuss how to go about your internal investigation, managing the regulator and what to do if you’re not looking at a false positive. 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,…

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Regulatory update with Deloitte and a Focus on Best Execution

October 22 @ 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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