We are excited to announce that we have now planned our agenda as follows:

• 9.30 - 9.40am: Welcome and introductions

• 9.40 – 10am: Commissions disclosure claims update; Q&A

• 10 - 10.20am:  An overview of the Appointed Representatives regime; Q&A

• 10.20  – 10.30am: Latest developments in introducer onboarding monitoring and supervision; Q&A

• 10.30 - 11.15am: Breakout session - Dealer monitoring requirements have been in existence since the introduction of CONC but the requirements to supervise and monitor dealer relationships has become more and more important. The purpose of this break out session is to explore:  

  • what firms are already doing and

  • to what level and extent monitoring and supervision is required.

  • Feedback to whole group

• 11.15 - 11.25am: Quick horizon scan - 

  • A brief look at the FCA Consultation CP23/21: new data reporting requirements

  • What are the most important FCA requirements on ESG to be aware of

• 11.25 – 11.30am: Close

  If you would like to attend, please register via the button below:

For ease of diary management, click here for calendar invite to pop the date in your diary.

We look forward to seeing you!