A workshop focused on supporting the creation of an effective compliance oversight programme and efficient operating model for your broking firm. Work with our experts and your peers to use the risk profile established in the first workshop to explore solutions to mitigate operating risks and create the beginnings of an effective compliance oversight programme and efficient operating model for better business and regulatory outcomes for your organisation.
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In this in-person workshop, TBC members are invited to work with industry experts and peers to review and discuss compliance functions and wider operations matters to identify where - and how - potential risks present themselves. The Workshop will assess potential risks - top to bottom, internally and externally, online and offline, enabling participants to create an overall assessment of current and future risks your firm may be up against now, and in the near future.
The FCA published the CP21/34 in December 2021. Since the release of this paper and the subsequent consultation period, the Regulatory Hosting sector has been under heavy scrutiny, with many in the industry asking, "What is the future of regulatory hosting?".
Our panel of experts from across the financial industry will explore what they see as the future of Regulatory Hosting. Drawing on their experience and knowledge to discuss what the ideal looks like for a compliant and sustainable regulatory hosting model and what Hosts and their ARs must do to ensure that they will continue to be a vital part of the UK's vibrant financial industry for many years to come.