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Events

Here you will find copies of all the free presentations and speeches that we have given.

We can re-run these events for your firm either as a webinar or train the trainer for no charge. Just submit a speaker request and we'll be in touch.

regulatory consulting companies

regulatory compliance consulting firms

financial services compliance consultants

Best Execution from a regulatory perspective

Walk through of the Best Execution regime, the rules, the key areas to focus on, some case studies, and FCA expectations.

30 July 2020

Compliance Reliance after Brexit

Discussion about what FCA means by substituted compliance after the UK Free Trade Agreement.

 

1 July 2020

Business Continuity in times of Crisis

Presentation on how regulated firms can go about managing their business during the Coronavirus Covid-19 lockdown building on experience gained at the regulator during the financial crisis.

25 March 2020

UK SMCR: The Way Forward

Expert talk given at the Metricstream London GRC Summit 2019

19 November 2019

 

The role of introducing brokers

Discussion about different types of introducers, why there can be regulatory focus on introducers, and some of the things you can do to protect yourself and your firm.

15 July 2020

Payment for Order Flow

Discussion about when charging both sides of a transaction may or may not  be a conflict of interest.




 

24 June 2020

FX Global Code

This was an engaging roundtable where we discussed the development of the Code, how to go about committing to the Code and how to find out who has committed to the Code

27 February 2020

Transaction Reporting

Two highly interactive discussions about transaction reporting hot spots and best practice

23 and 30 January 2020

regulatory consulting companies     fca compliance procedures     financial services compliance consultants     regulatory compliance consulting firms  skilled person

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