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January 2021

A New Prudential Regime for Investment Firms in the UK with BDO

January 27 @ 4:00 pm - 5:00 pm
Video Conference

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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Regulatory Update with Deloitte and a Focus on Culture

January 28 @ 8:00 am - 9:00 am
Video Conference

Terry Sahathevan and the Financial Services team from Deloitte will run through the fortnightly regulatory update, sharing insight on the latest publications from the FCA as well as other news. This week's session will then focus on organisational culture. To register for this video conference round table, please email: events@thebrokerclub.org  

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February 2021

The Tokenisation Opportunity with Archax

February 3 @ 4:00 pm - 5:00 pm
Video Conference

The advent of digital securities, through the use of blockchain and tokenisation to facilitate fractional ownership, will allow brokers to tap into exciting new asset classes and open up new revenue streams from clients. At this virtual roundtable, Graham Rodford, CEO of forthcoming FCA regulated digital securities exchange Archax, will explain the differences between cryptocurrencies and other types of digital assets, as well as the advantages they can bring to traditional capital markets, and then explore the new opportunities that…

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Brexit with Leaman Crellin

February 4 @ 8:00 am - 9:00 am
Video Conference

This session from Leaman Crellin will discuss the immediate impact following the UK’s withdrawal from the EU and what to expect in 2021. The discussion will cover: FCA TPR landing slot allocation Reverse solicitation in practice and what UK firms can do How firms can provide clearing services to EU clients: The legal and regulatory landscape and what firms can plan for If you would like to attend this video conference round table, please email: events@thebrokerclub.org    

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Regulatory Update with Deloitte and a Focus on Deloitte’s Regulatory Outlook for 2021

February 11 @ 8:00 am - 9:00 am
Video Conference

Terry Sahathevan and the Financial Services team from Deloitte will run through the fortnightly regulatory update, sharing insight on the latest publications from the FCA as well as other news. The session will then focus on Deloitte’s Regulatory Outlook for 2021.  David Strachan, Andrew Bulley and Nikki Lovejoy will talk through Deloitte’s Regulatory Outlook 2021 and what this means for broking firms. To register for this video conference round table, please email: events@thebrokerclub.org  

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Regulatory Permissions with Leaman Crellin

February 18 @ 8:00 am - 9:00 am
Video Conference

This session from Leaman Crellin will discuss the UK regulatory permissions regime, with particular focus on how the FCA might go about its planned “use it or lose it” review commitment. If you would like to attend this video conference round table, please email: events@thebrokerclub.org  

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Tax Update for Broking firms with PwC

February 18 @ 4:00 pm - 5:00 pm
Video Conference

John Clarke, Director within the Banking and Capital Markets Tax team at PricewaterhouseCoopers, will lead our quarterly update on tax for broking firms. The session will cover: What we might expect from the Budget MTD for Corporate Income Tax MTD for VAT - phase II requirements Remote workforce Pillar 1 and 2   To register for this video conference round table, please email: events@thebrokerclub.org  

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Building on Success: How Retail Broking Firms Can Grow Their Business by Making Clients the “Central Pillar”

February 24 @ 4:00 pm - 5:00 pm
Video Conference

Broking firms that serve a retail client base are in a great space at present. Day trading has become very popular worldwide since the onset of the coronavirus pandemic.  Activity “increased dramatically” in the first quarter of 2020 compared with 2019, according to data analysed by Cerulli Associates. Several firms that offer broking services to retail clients have reported that visits to their website giving instructions on trading stocks have nearly quadrupled. Meanwhile, trading apps like Robinhood are seeing a…

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March 2021

Efficiencies in Regulatory Reporting: The Move to Granular Data Models with Bearing Point

March 3 @ 4:00 pm - 5:00 pm
Video Conference

Over the last years there has been a realisation that the tradition of trying to standardise the reporting outputs of different banks has been unsuccessful, with the dial of standardisation needing to now turn more to the input level, a position now being actively explored by the Bank of England in their Future Data Collections exercise. This session will provide an overview of what is meant by a granular data model, how such a model can shield firms from regulatory…

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Tax Implications After Brexit for Broking Firms with BDO Limited

March 4 @ 4:00 pm - 5:00 pm
Video Conference

BDO Ltd. lead our discussion on tax for broking firms after Brexit, with a particular focus on VAT. The session will cover: Views on potential budget & upcoming tax changes VAT for financial services: Key VAT changes post Brexit Key VAT considerations for financial intermediaries Making Tax Digital (new digital link requirement) Tax implications for remote working / when staff are based overseas To register for this video conference round table, please email: events@thebrokerclub.org

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