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Dear CEO Letter – 3 years on….Part I

March 17, 2022 @ 4:00 pm - 5:00 pm

The first in our series run in association with market conduct specialist and former senior FCA regulator David Blunt will review – 3-plus years on from its publication – progress, changes and challenges arising from the Dear CEO letter to Wholesale Brokers.

In this session, we will explore Culture and SMCR:

  • Why does the FCA care about culture at firms?
  • What are the key drivers of culture in broking firms?
  • What does the FCA approach mean for broking firms?
  • What are the key SM&CR developments since the regime was implemented?
  • What does post pandemic culture look like?
  • What is the regulatory focus and what does it mean for firms?

This virtual event is an opportunity for participants to share experiences and gain up to date insight from industry experts.  To join us, please register below.

Registrations are now closed for this event - contact events@thebrokerclub.org for more information


March 17, 2022
4:00 pm - 5:00 pm



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The broker club is an exclusive club for brokers active within financial markets. The club is particularly relevant for senior management, front and back office, risk/compliance and IT.

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