Broker Fines for Market Abuse
March 4, 2023Thursday 27th April 2023 at 4 PM, at the Eight Club Bank. How Regulators are targeting Brokers, and...
Broker relevant articles | #FCA
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What are the Main Themes in the ‘Dear CEO’ Letter to Wholesale Brokers, Dated Jan 2023?
January 30, 2023Tuesday 25th April 2023 at 4 PM, at the Eight Club Bank. Clemmie Bowyer from Effecta Compliance will...
IBOR Transition with Deloitte
October 1, 2019The upcoming phase-out of the Interbank Lending Rate (IBOR) means big changes to financial services – but few firms...
Preparing for an FCA Visit with PwC
August 21, 2019FCA “DEAR CEO” LETTER TO WHOLESALE BROKERS: With PwC PWC will lead the discussion on how firms can draft...