FCA Update: Use of TTCAs and the Matched Principal Exemption
July 27, 2020Today the FCA published a ‘Dear CEO’ letter aimed at wholesale market broking firms regarding the use of TTCA...
Information Centre
Broker Relevant Articles and News
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FCA Blog on Conduct, Culture and Covid-19
June 15, 2020Conduct, Culture and Covid-19
Deloitte Future of the City Blog
June 15, 2020Future of the City Blog
Company Gifts and Entertainment Policy Survey
March 3, 2020The Broker Club recently sent a survey to members in compliance roles asking about their company’s Gifts and Entertainment...
Latest White Papers
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Best Execution with Leaman Crellin
July 30, 2020Katharine Leaman from Leaman Crellin reviews Best Execution from a compliance perspective, focusing on the regulators expectations, what is...
CASS with Bovill
July 16, 2020In this session, Bovill discuss the CASS issues that they see affecting broking clients at the moment. This includes...
The Role of Introducing Brokers with Leaman Crellin
July 15, 2020Katharine Leaman, from Leaman Crellin, shares her experience as a policy maker at the regulator and compliance practitioner on...
A Market Abuse Framework: What’s in the Toolbox? With 3 Lines of Defence
July 9, 2020Kevin Taylor and David McClean of 3 Lines of Defence Consulting Limited lead the discussion on firms’ regulatory obligations,...