26 May – Deloitte Regulatory Update
May 26, 2022Thanks as always to Terry Sahathevan and his Deloitte colleages Emily Cockrell and Tasneem Saiki for their interesting and...
Round Table Archives
Global FX Code: What it is, what FCA expects – in-person roundtable with Leaman Crellin
May 25, 2022In this in person, interactive roundtable Katharine Leaman from regulatory compliance specialists Leaman Crellin led a discussion on the Global FX Code...
ICARA – the new normal: Obligations, calculations and submissions- in association with Wheelhouse Advisors
May 19, 2022In this session, Wheelhouse Advisors regulatory experts talked about: ICARA – The new normal: Meeting your ICARA obligations Underlying...
Embedding IFPR: Reporting, monitoring, governance and breaches – in association with Wheelhouse Advisors
May 12, 2022In the first of two sessions, Wheelhouse Advisors discuss embedding the new IFPR regime with particular reference to: •...
Scaling Client Services to Optimise OTC Market Data and Quote Delivery – with ipushpull
May 5, 2022On 5 May Matthew Cheung and Neil Weatherall of data distribution and workflow automation fintech ipushpull shared their experiences of enabling broking desks...
Part IV: Complete Guide to Governance with Leaman Crellin
April 13, 2022Part 4 of 5 – Vendor Management & Outsourcing Financial markets compliance specialists Leaman Crellin provide a thorough grounding...
Part I – Compliance Operations Healthcheck – in association with Fingerprint Supervision
April 6, 2022In the first of two sessions, this interactive Workshop led by industry experts worked with participants to review compliance...
Part III: Complete Guide to Governance with Leaman Crellin
March 30, 2022Part 3 of 5 – MiFID Financial markets compliance specialists Leaman Crellin provide a thorough grounding in Governance –...
Dear CEO letter – 3 years on….with David Blunt
March 24, 2022In our 2-part series, run in association with market conduct specialist and former senior FCA regulator David Blunt, we...
Part II: Complete Guide to Governance – SMCR Management & Reporting
March 23, 2022Part 2 of 5 – SMCR Management & Reporting Financial markets compliance specialists Leaman Crellin provide a thorough grounding...
New Strategies for a Changing World – Deloitte Financial Markets 2022 Regulatory Outlook
March 10, 2022On 10 March, David Strachan and Felix Bungay of Deloitte’s EMEA Centre for Regulatory Strategy gave an exclusive presentation...
Guide to managing Supervision Interventions – with CMS Law
March 3, 2022The enforcement powers of the Financial Conduct Authority (FCA) include criminal, civil and regulatory actions against firms and indviduals...