In the second edition of our coffee and compliance events, ComplyCraft Consulting will welcome panellists from the Financial Conduct Authority (FCA), Trading Technologies and Square4 Partners, to discuss some of the FCAs recent enforcement cases.

Alongside consultations, policy statements and other regular publications, the FCA expects firms to be aware of their enforcement actions, and take note of the key findings.  In this session, we will discuss a selection of recent high profile cases, and how the associated lessons can be incorporated into ongoing compliance activities.

The session also offers a light breakfast and an opportunity to connect with professionals across the financial services sector.

People and relationships matter to us; clients, partners, the regulator and competitors alike. We invite you to join us in building and strengthening connections across the sector.

Covering:
> Dinosaur Merchant Bank: How can firms perform an effective market abuse risk assessment, design proportionate surveillance, and ensure new product launches are properly controlled?
> Commodity Futures Day Traders Case: Understanding the market distortion, and the FCAs use of competition law powers. How might firms incorporate lessons learned into their compliance framework?
> WealthTek, Sapia Partners, CACEIS and Barclays: How can principal firms and service providers assure they have appropriate due diligence for complex relationships? What are the particular risks posed by the model for client money and client assets?

Agenda:
8:45 Arrival and Breakfast
9:15 Welcome and Introductions
9:20-10:50 Panel Discussion (and Q&A)
10:50-11.30 Chat, Connect and End

Location: Moorgate, London