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April 2021

The FCA’s Supervisory Approach

April 1 @ 8:00 am - 9:00 am
Video Conference

This session from Leaman Crellin will look at the FCA’s supervisory approach for 2021, what it means for wholesale brokers, and how FCA will follow up its April 2019 Dear CEO letter to wholesale brokers. If you would like to attend this video conference round table, please email: events@thebrokerclub.org  

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Future-Proofing Your Firm: Getting to the Top of the Pile – Why Education and Upskilling will Grow your Business and Improve your Career Prospects

April 1 @ 4:00 pm - 5:00 pm
Video Conference

Fingerprint Supervision lead our series: Future-Proofing Your Firm: Navigating Through 2021 and Beyond, a four-part series delving into the nitty-gritty of how to operate a resilient, compliant and growth-focused in 2021.   PART IV: Getting to the Top of the Pile – Why Education and Upskilling will Grow your Business and Improve your Career Prospects What skills are needed in 2021 to set your team and your organisation apart from the rest? What will the future of work look like…

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Regulatory Update

April 8 @ 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. To register for this video conference round table, please email: events@thebrokerclub.org

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MAR Healthcheck with PwC

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

Ruk Permal and Graham Ure from PwC will lead the discussion on Market Abuse Regulation. To register for this video conference round table, please email: events@thebrokerclub.org

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Culture in OTC Markets with ACI

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

“Are principles really practical?  Culture in OTC markets – can ethics and profit work hand in hand?”- How does a small to medium size brokerage firm stay up to date with the current thinking on culture. ACI will lead our discussion that will answer the following questions: Is a principles based market the same as a regulated market? Should the conduct and focus on behaviour be placed on the individual or the institution?  Is there a danger of individuals being…

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Regulatory Update with Deloitte

April 22 @ 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. To register for this video conference round table, please email: events@thebrokerclub.org

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Financial Crime Regulatory Landscape Update with C&F Partners

April 28 @ 4:00 pm - 5:00 pm
Video Conference

Chris Cowin, Managing Director and Head of Regulatory Compliance at C&F Partners, will examine the FCA’s outlook for 2021, their areas of focus and the importance of data. It will also cover developments more broadly such as 6MLD and the UK post-Brexit, developments in the US with the National Defence Authorisation Act, SARs reform, the UK’s 2020 National Risk Assessment and companies house reform regarding corporate transparency. C&F Partners are a team of experts with a proven track record in…

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