Dear CEO letter – 3 years on….Part II

The second 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:

• Broker Remuneration – what does the FCA care about?
• What should firms think about when considering renumeration schemes?
• Capacity & Conflicts of Interest – what do firms need to think about?
• How should firms tackle the challenges faced?
• Financial Crime controls – how are these focused on business models?
• How does all of the above come back to SM&CR and culture – how firms are run and the responsibilities of the senior managers

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.