Embedding IFPR: Reporting, monitoring, governance and breaches – in association with Wheelhouse Advisors
May 12, 2022In the first of two sessions, Wheelhouse Advisors discuss embedding the new IFPR regime with particular reference to: •...
Round Table Archives
Part IV: Complete Guide to Governance with Leaman Crellin
April 13, 2022Part 4 of 5 – Vendor Management & Outsourcing Financial markets compliance specialists Leaman Crellin provide a thorough grounding...
Part I – Compliance Operations Healthcheck – in association with Fingerprint Supervision
April 6, 2022In the first of two sessions, this interactive Workshop led by industry experts worked with participants to review compliance...
Part III: Complete Guide to Governance with Leaman Crellin
March 30, 2022Part 3 of 5 – MiFID Financial markets compliance specialists Leaman Crellin provide a thorough grounding in Governance –...
Dear CEO letter – 3 years on….with David Blunt
March 24, 2022In our 2-part series, run in association with market conduct specialist and former senior FCA regulator David Blunt, we...
Part II: Complete Guide to Governance – SMCR Management & Reporting
March 23, 2022Part 2 of 5 – SMCR Management & Reporting Financial markets compliance specialists Leaman Crellin provide a thorough grounding...
New Strategies for a Changing World – Deloitte Financial Markets 2022 Regulatory Outlook
March 10, 2022On 10 March, David Strachan and Felix Bungay of Deloitte’s EMEA Centre for Regulatory Strategy gave an exclusive presentation...
Guide to managing Supervision Interventions – with CMS Law
March 3, 2022The enforcement powers of the Financial Conduct Authority (FCA) include criminal, civil and regulatory actions against firms and indviduals...
PWC Tax Update
March 3, 2022The latest in tax development and strategy for financial services broking firms from PwC tax specialist John Clarke and...
Part I: Complete Guide to Governance – SYCS – with Leaman Crellin
March 2, 2022Part 1 of 5 – SYCS – Systems and Controls Financial markets compliance specialists Leaman Crellin provide a thorough...
The need for robust Board evaluations; the benefits of greater Board diversity & inclusion
February 9, 2022On 9 Febrruary Samuel Rowe and Clare Curtis of Effecta Compliance and Emma Vernon of Constantine Law led an engaging and insightful...
ESG Strategies & Challenges Part II – with BDO Consulting
February 2, 2022In the second session in its two-part series on ESG Challenges and Strategies, industry specialists BDO Consulting led a...