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June 2020

CASS Governance with Deloitte

June 3 @ 8:00 am - 9:30 am
Video Conference

Anna Dawson will lead a discussion on how to achieve effective CASS governance, focusing on common CASS issues and how to avoid them, as well as the FCA's approach to CASS supervision. Anna┬áis a chartered…

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Regulatory Update with Deloitte

June 4 @ 8:00 am - 9:00 am
Video Conference

Terry Sahathevan and the team will provide their weekly regulatory update. If you would like to attend this video conference please email: events@thebrokerclub.org

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SFTR with Deloitte

June 4 @ 4:00 pm - 5:00 pm
Video Conference

Hussain Abdullah from Deloitte will lead the discussion on Securities Financing Transactions Regulation (SFTR). This round table will address the challenges firms face in meeting their reporting requirements under SFTR. If you would like to…

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Operational Risk: The Hazards of Using Simplistic Scenarios with Dr Mustafa Cavus from Monte Carlo Plus

June 10 @ 8:00 am - 9:00 am
Video Conference

Dr Mustafa Cavus from Monte Carlo Plus will discuss the hazards of firms using "simplistic" scenarios as a basis to assess their operational risks. Firms often use a very simplistic approach to calculate their risks…

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Regulatory Update with Deloitte

June 11 @ 8:00 am - 9:00 am
Video Conference

Terry Sahathevan and the team will provide their weekly regulatory update. If you would like to attend this video conference please email: events@thebrokerclub.org

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KYC: The Benefits of Outsourcing with iMeta and LYSIS

June 17 @ 8:00 am - 9:00 am
Video Conference

This round table will discuss outsourcing the KYC process, the opportunities and cost savings that this can bring, as well as some of the challenges of outsourcing. If you would like to attend this video…

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Regulatory Update with Deloitte

June 18 @ 8:00 am - 9:00 pm
Video Conference

Terry Sahathevan and the team will provide their weekly regulatory update. If you would like to attend this video conference please email: events@thebrokerclub.org

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Payment for Order Flow with Katharine Leaman

June 24 @ 8:00 am - 9:30 am
Video Conference

Payment for Order Flow has been under recent scrutiny from the FCA. The FCA has published findings from its supervisory work and remarked on PFOF in MarketWatch. Katharine Leaman from Leaman Crellin Limited, will lead…

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July 2020

Compliance Reliance after Brexit with Leaman Crellin

July 1 @ 8:00 am - 9:00 pm
Video Conference

Katharine Leaman from Leaman Crellin Limited will lead our discussion about compliance reliance after Brexit. Katharine will be sharing her experience as a policy maker at the regulator and compliance practitioner. We will discuss industrial,…

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