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The Broker Club
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The Highs and Lows of the Retail Broking Market: Gamestop with The Corellian Academy

This two part series looks at recent high profile events on the retail broking market. Led by Corellian, 2 round table events (2 weeks apart) to explore the impact of these events how the better education of both clients and staff could have impacted on the outcome. Part 1: Thursday 16th September, 4pm: Gamestop What happened? How did the Retail broker market react? How can you get ahead of any likely regulatory action? With the prevalence of more retail customers opening platform accounts, how can you protect your business and your clients?

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IFPR. A four part series with Wheelhouse Advisors. Part Two: What are K-Factors and how do they impact capital requirements?

This session outlined the risk indicators, or ‘K-Factors’ set out by the new Investment Firm Prudential Regime and the possible impact on capital requirements. Impact assessment work indicates that some firms’ capital requirements may be significantly affected. In the second of a weekly four part series, Wheelhouse Advisors will help you fully understand and prepare for IFPR.

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Market Conduct 101 with Leaman Crellin

Conduct and compliance experts Leaman Crellin once again provide market practitioners with a comprehensive overview of financial market abuse/conduct regulations and codes, insight into compliance obligations and challenges, and an update on conduct ‘hot topics’.

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IFPR with Wheelhouse Advisors- Understanding IFPR: Part 3: Introduction to IFPR regulatory reporting and ICARA?

The ICARA (Internal Capital and Risk Assessment) replaces the ICAAP (Internal Capital Adequacy Assessment Process) and while the two are superficially similar, the ICARA increases the focus on risk assessments and will be required by all firms on an annual basis.

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ESG and Operational Resilience in conjunction with 324 Consultancy. Preparing for the security implications of ESG.

ESG’s two key themes: transparent reporting and embedding of the ESG principles throughout a business are likely to encompass security requirements as the Taxonomy develops. In this webinar Alex Coburn from 324 Consultancy led a discussion that will help broking firms prepare for the security implications of ESG.

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Quarterly Tax Update with PwC

Continue this up to date discussion

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Regulatory Update in conjunction with Deloitte with a focus on Algo Trading and MiFID II

Continue this discussion about Algo Trading and MiFID II

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The FCA's Supervisory Approach with Leaman Crellin

Forum continuing the conversation from the FCA's Supervisory Approach round table

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The Current and Future Landscape of Regulatory Change with CMS LLP

Forum continuing the conversation from the landscape of regulatory change round table

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Efficiencies in Regulatory Reporting: IFR from a Practical Perspective with Bearing Point

Forum continuing the conversation from the IFR round table.

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

Forum continuing the conversation from the Move to Granular Data Models round table.

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Tax Implications After Brexit for Broking Firms with BDO Limited

Forum continuing the conversation from the tax after Brexit round table.

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Tax Update with PwC

Forum continuing the conversation from the Tax Update round table.

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Regulatory Permissions with Leaman Crellin

Forum continuing the conversation from the Regulatory Permissions round table

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

Forum continuing the conversation from the Regulatory Update round table.

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Brexit with Leaman Crellin

Forum continuing the discussion from the Brexit round table.

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The Tokenisation Opportunity with Archax

Forum continuing the discussion from the tokenisation round table

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

Forum continuing the conversation from the New Prudential Regime Round Table.

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ILAA and Liquidity Management with PwC

Forum continuing the conversation from the ILAA and Liquidity Management round table.

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Regulatory Update with Deloitte (14/1/21)

Forum continuing the conversation from the regulatory update round table.

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Third Party Vendor Risk Management with Deloitte

Forum continuing the conversation from the Third Park Vendor Risk Management Round Table

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Brexit: An Update for Brokers with BDO

Forum continuing the conversation from the Brexit round table

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Operational Resilience in the "New Normal" with 3 Lines of Defence Consulting (26/11/20)

Forum continuing the conversation from the operational resilience round table

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Industry Codes 101 with Leaman Crellin (25/11/20)

Forum continuing the conversation from the industry codes round table

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Order Execution Hot Topics with Leaman Crellin (18/11/20)

Forum continuing the conversation from the order execution round table.

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Climate Risk Management with BDO Ltd. (12/11/20)

Forum continuing the conversation from the climate risk management round table

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Market Soundings/Colour with Leaman Crellin (11/11/20)

Forum continuing the conversation from the market soundings/colour round table.

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Information Walls with Leaman Crellin (4/11/20)

Forum continuing the conversation from the information walls round table.

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Conflicts of Interest with Leaman Crellin (28/10/20)

Forum continuing the conversation from the conflicts of interest round table

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How to Manage a Potential Market Abuse Situation with Leaman Crellin (21/10/20)

Forum continuing the conversation from the managing a potential market abuse round table.

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Cyber Security in the New "Covid" Reality with 3 Lines of Defence Consulting Ltd. (15/10/20)

Forum continuing the discussion from the Cyber Security Round Table

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AML with Martin Woods (15/10/20)

Forum continuing the discussion from the AML Round Table

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Ways of Detecting and Preventing Market Abuse with Leaman Crellin (14/10/20)

Forum continuing the conversation from the Ways of Detecting and Preventing Market Abuse Round Table

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SM&CR with WorkSmart (14/10/20)

Forum continuing the conversation from the SM&CR Round Table

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Market Abuse Themes with Leaman Crellin (7/10/20)

Forum continuing the conversation from the Market Abuse Theme Round Table

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The Impact of COVID 19 on the Workplace with Meaby and Co. (7/10/20)

Forum continuing the conversation from the Impact of Covid on the Workplace round table

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Market Reporting Obligations with Leaman Crellin (30/9/20)

Forum continuing the conversation from the Market Reporting Obligations Round Table

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AML with 3 Lines of Defence Consulting (24/9/20)

Forum continuing the conversation from the AML Round Table

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Regulatory Update and Focus on Conflicts Frameworks with Deloitte (24/9/20)

Forum continuing the conversation from the Regulatory Update and Conflicts Frameworks Round Table

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Handling an FCA Market Abuse Related Visit with Leaman Crellin (23/9/20)

Forum continuing the conversation from the Handling an FCA Visit Round Table

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Modelling with Monte Carlo Plus (23/9/20)

Forum continuing the conversation from the Modelling Round Table

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The FCA’s Approach to Market Abuse with Leaman Crellin (16/9/20)

Forum continuing the conversation from The FCA’s Approach to Market Abuse Round Table

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Benchmarking with Monte Carlo Plus (16/9/20)

Forum continuing the conversation from the Benchmarking Round Table

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Regulatory Update with Deloitte and Focus on Broker Remuneration (10/9/20)

Forum continuing the conversation from the Regulatory Update Round Table

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Market Abuse 101 with Leaman Crellin (9/9/20)

Forum continuing the conversation from the Market Abuse 101 Round Table

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Prudential Capital Requirements with Monte Carlo Plus (9/9/20)

Forum continuing the conversation from the Prudential Capital Requirements round table

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Global FX Code (20/8/20)

Forum continuing the conversation from the Global FX Code Round Table

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Regulatory Update and a Focus on a New Prudential Regime: Policy Changes on Financials (13/8/20)

Forum continuing the conversation from the Regulatory Update with focus on a New Prudential Regime

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Dear CEO Letter on TTCAs (6/8/20)

Forum continuing conversation from the Dear CEO Letter on TTCAs Round Table

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Best Execution with Big XYT (5/8/20)

Forum continuing conversation from the Best Execution Round Table

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Best Execution with Leaman Crellin (30/7/20)

Forum continuing conversation from the Best Execution Round Table

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CASS (16/7/20)

Forum continuing conversation from the CASS round table

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The Role of Introducing Brokers: FCA scrutiny (15/7/20)

Forum continuing the conversation from the role of introducing brokers round table

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A Market Abuse Framework – What’s in the Toolbox? (9/7/20)

Forum continuing the conversation from the market abuse round table

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Regulatory Reporting: An Update for the Broker Community Post CME & Deutsche Börse Exit (8/7/20)

Forum continuing the conversation from the regulatory reporting round table

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Compliance Reliance after Brexit (1/7/20)

Forum continuing the conversation from the compliance reliance after Brexit round table

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Payment For Order Flow (24/6/20)

Forum continuing conversation from Payment from Order Flow Round Table

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