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Complete Guide to Governance – Part V: Trading

April 27, 2022 @ 8:00 am - 9:00 am

In this comprehensive and educational 5-part series, financial markets compliance specialists Leaman Crellin will provide a thorough grounding in Governance – what it means, why it’s growing in importance, how it is ‘measured’ (by regulators/supervisors/clients/partners and all participants in financial markets ‘supply chains’) and what broking firms need to be thinking about – and doing – to meet governance challenges and obligations.

This exclusive 5-part series will cover all aspects of governance for broking firms:

  • 2 March – Part I – SYSC (Systems and Controls)
  • 23 March – Part II – SMCR management and reporting
  • 30 March – Part III – MiFID
  • 13 April Part IV – Vendor Management and Outsourcing
  • 27 April – Part V – Trading

Click on event links to register to join individual events.   To pre-register for ALL events in the series, click here.

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


April 27, 2022
8:00 am - 9:00 am




The Broker Club
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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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