The FCA’s Approach to Market Abuse, with Leaman Crellin
September 16, 2020The FCA conducts its own surveillance of the markets in order to detect attempts or incidents of actual market...
Round Table Archives
Market Abuse 101, with Leaman Crellin
September 9, 2020Preventing, detecting and punishing market abuse is a high priority for the FCA. It protects consumers, enhances the integrity...
Prudential Capital Requirements with Monte Carlo Plus
September 9, 2020Dr Mustafa Cavus, from Monte Carlo Plus, reviews the FCA business plan for firms, looking at its focus on...
The Global FX Code in conjunction with Leaman Crellin
August 20, 2020Liam Crellin leads this session, which looks at the Global FX Code, and covers in detail: Areas that firms...
Dear CEO Letter on TTCAs with Leaman Crellin
August 6, 2020Following the FCA’s publication of their “Dear CEO” letter, regarding the use of TTCAs and the Matched Principal Exemption,...
Best Execution with Big XYT
August 5, 2020Continuing our focus on Best Execution, Mark Montgomery, from Big XYT, takes us through a practical guide to Best...
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,...
Regulatory Reporting with SteelEye
July 8, 2020In this webinar, SteelEye discuss the European reporting requirements brokers are subject to and the impact of CME and...
Compliance Reliance After Brexit
July 1, 2020Katharine Leaman from Leaman Crellin Limited leads our discussion about compliance reliance after Brexit. Katharine shares her experience as...