Financial Crime 101

Wednesday 24th May 2023 4 PM – 5:30 PM, at the Eight Club Bank.

Financial Crime “101” – Hot Topics, Developments & Trends:

This event will provide a refresh of the core areas of financial crime compliance, including:

1. A quick refresh of the core areas of financial crime, focusing on money laundering and market abuse.
2. Key messages from the FCA on financial crime, including in the recent Dear CEO letter.
3. Summary of recent financial crime related enforcement actions.
4. Key regulatory updates and developments, including the Economic Crime & Corporate Transparency Bill, Companies House reform, and Sanctions regime.
5. Top tips for ensuring ongoing compliance with regulatory expectations and good practice, including senior management culture and tone from the top, the 3 lines of defence model, policies & procedures, use of MI, monitoring, surveillance and assurance, and training.

This event will provide a refresh of the core areas of financial crime compliance, including current areas of regulatory focus. The recent FCA “Dear CEO” letter for Wholesale Broker firms again included financial crime. The session will cover recent enforcement actions and other updates, for example on the Economic Crime & Corporate Transparency Bill, Companies House reform, Sanctions regime, and tips to help ensure ongoing compliance with regulatory expectations and good practice.

Chris Cowin from C&F Partners will lead the discussion. Chris is a Managing Director who leads C&F’s Regulatory Compliance team. He has 20 years of experience advising financial institutions and other firms on regulatory and financial crime matters, including Anti-Money Laundering, Anti-Bribery & Corruption, Fraud, and Sanctions. Prior to joining C&F Partners, Chris was a Director in PwC’s Forensic Services practice where he led engagements both in the UK and overseas.

This is an in-person round table discussion event from 4 pm to 5:30 pm, held at the Eight Club Bank. As it is in-person, and space is limited, registration is based on a first-come, first-served basis. There will also be brief networking drinks after.

Complete the form below to register, or email: events@thebrokerclub.org.