Compliance culture

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labelAll Posts todayNovember 3, 2021

Updates from and Q&A with the Financial Regulator

Topics include: • What’s next for MiFID II review, further legislative proposals & UK’s position? • What’s next for MiFID II and impact on market participants • Enforcement and lessons learnt from recent cases • Regulations divergence following Brexit • Regulators’ views on automated trading and other tech tools

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labelAll Posts todayAugust 18, 2021

Staying Compliant While Working Remotely

Recorded Live at ETRC 2020, our speakers look at the challenges of the “new normal”: How do you maintain a strong compliance culture while working remotely? What does the new normal look like? What are the behavioural expectations? How do you overcome confidentiality or IT security issues? MODERATOR: PETRA HIRSCH, ...

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