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November 2019

Operational Resilience – Impact Tolerances with PwC

November 28, 2019 @ 4:00 pm - 5:30 pm
Boardroom, 6th Foor, Becket House, 36 Old Jewry
London, EC2R 8DD United Kingdom
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PwC will join us to talk through their recent white paper on the subject of operational resilience. Adam Stage will run through the 5 step model for setting and testing impact tolerances and talk through…

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December 2019

Algorithmic Trading and MIFID II Requirements with Deloitte

December 4, 2019 @ 4:00 pm - 5:30 pm
Boardroom, 6th Foor, Becket House, 36 Old Jewry
London, EC2R 8DD United Kingdom
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Scott Grendall from Deloitte will lead the discussion and provide assistance in understanding and meeting, the obligations under MiFID II for algorithmic trading.   Scott will also cover the specific requirements pertaining to algorithmic trading outlined…

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Preparing for an FCA Visit with PWC

December 11, 2019 @ 8:30 am - 10:00 am
Boardroom, 6th Foor, Becket House, 36 Old Jewry
London, EC2R 8DD United Kingdom
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After the success of our first round table on this topic, PWC will host another round table, leading the discussion on how firms can draft a practical action plan on how to prepare for FCA…

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January 2020

Holistic Compliance for Broker Firms- Fact vs Myth with Shield

January 23 @ 8:00 am - 9:30 am
Boardroom, 6th Foor, Becket House, 36 Old Jewry
London, EC2R 8DD United Kingdom
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Is surveillance a top tier luxury? Shield will discuss why broker firms are neglecting eComms surveillance and focussing mainly on trade. Eran and Shira will talk about the benefits of cloud based compliance and surveillance…

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Transaction Reporting with Katharine Leaman and Chad Giussani

January 23 @ 4:00 pm - 5:30 pm
Boardroom, 6th Foor, Becket House, 36 Old Jewry
London, EC2R 8DD United Kingdom
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Katharine Leaman from Leaman Crellin will lead a discussion on Transaction Reporting along with Chad Giussani from Standard Chartered Bank. Chad is Standard Chartered Banks’ global head of transaction reporting compliance. Chad will draw on…

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SM & CR – Managing Obligations with Sean Lam

January 29 @ 8:00 am - 9:30 am
Walker Crips Office, Old Change House, 128 Queen Victoria Street, London, EC4V 4BJ United Kingdom + Google Map

The Senior Managers & Certification Regime (SM&CR) will came into effect on 9 December 2019. Whilst being ready for this deadline was important, the real challenge of SM&CR is the maintaining and updating records so…

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Transaction Reporting (2) with Katharine Leaman and Chad Giussani

January 30 @ 4:00 pm - 5:30 pm
Floor 3, Room 4, Becket House, 36 Old Jewry
Jewry, EC2R 8DD United Kingdom
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Due to the popularity of the first event, Katharine Leaman from Leaman Crellin will lead another discussion on Transaction Reporting along with Chad Giussani from Standard Chartered Bank. Chad is Standard Chartered Banks’ global head…

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Integrated Surveillance – the Obstacles, Objectives, Opportunities and Utopia

January 30 @ 4:00 pm - 5:30 pm
Boardroom, 6th Foor, Becket House, 36 Old Jewry
London, EC2R 8DD United Kingdom
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This round table will cover ‘Integrated Surveillance’ from a technical, operational, cultural and GRC perspective, including both Business Communications and Market Abuse angles, and the regulatory relevance across MAR, SMCR, MiFID, and Reg BI. Agenda:…

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February 2020

Culture with Deloitte – ‘The evolving approach to culture by the FCA’

February 12 @ 8:00 am - 9:30 am
Floor 3, Room 4, Becket House, 36 Old Jewry
Jewry, EC2R 8DD United Kingdom
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Deloitte will discuss the FCA’s most recent approaches to Culture and will link this with expectations of Senior Managers under the SMCR. It is aimed at Board Directors, Compliance Officers, Risk Managers and HR Managers.

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Broker Renumeration and The Implications of IR35 with BKL

February 13 @ 4:00 pm - 5:30 pm
Boardroom, 6th Foor, Becket House, 36 Old Jewry
London, EC2R 8DD United Kingdom
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IR35 and the wider Broker Compensation Broker compensation is under scrutiny from both HMRC and FCA.   This round table will cover the implications of IR35 and what firms should be doing.   The discussion will also…

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