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Conduct & Compliance

Latest regulatory intelligence brought to you by industry professionals and regulators. Best in class conduct and compliance strategies.

Events

Showing 20 of 30 events

11th Annual Client Assets Protection Forum

30 June - 2 July 2020 , BST UTC+1h

11th Annual Client Assets Protection Forum

19th Annual Complaints Management Forum

22 September 2020 , On-Demand Content Now Available

19th Annual Complaints Management Forum

SMCR & Conduct and Culture in the Time of COVID-19

24 - 25 February 2021 , GMT Time Zone

SMCR & Conduct and Culture in the time of Covid-19

AML & ABC Forum

22-24 March 2021 , London

AML & ABC Forum

Financial Crime & Sanctions Forum Nordics

September 2021

Financial Crime & Sanctions Forum Nordics

Competition Law Challenges in the Financial Services Sector

October 2021 , London, United Kingdom

Competition Law Challenges in the Financial Services Sector

Algorithmic Trading Governance & Controls

02 - 03 December 2020 , Live Streaming & On Demand

Algorithmic Trading Governance & Controls

Algorithmic Trading Governance & Controls Amsterdam

2019年12月10

Algorithmic Trading Governance & Controls Amsterdam

Benchmark Rates Series

Benchmark Rates Series

CASS 7

13 December 2017 , London

CASS 7

Effective CASS Record Keeping and Reconciliations

June 2020 , London

Effective CASS Record Keeping and Reconciliations

Effectively Managing CASS Audits

12 December 2019 , London

Effectively Managing CASS Audits

GI Complaints Management

3 December 2019 , London

General Insurance Complaints Management Forum

Global Benchmark Rates Forum: 2020 Preparing for the End of LIBOR

29th September 2020 , Delivered Live (UK Time) & On-Demand Afterwards

Benchmark Rates Forum 2020

Living and Working with the FX Global Code of Conduct

22 November 2018 , London

What Does the FX Global Code of Conduct Mean for Your Business?

Managing Benchmark Regulation Reform in Financial Markets

12th November 2019 , London, UK

Managing Benchmark Regulation Reform in Financial Markets

Market Oversight & Surveillance

2 December 2020 , Live Streaming & On Demand

Market Oversight & Surveillance Forum

Outsourcing & Third-Party Risk in Financial Services - 11th Annual Forum

26th September 2019 , 21 Piccadilly, London W1J 0BH, UK

Outsourcing & Third-Party Risk in Financial Services - 11th Annual Forum

Outsourcing & Third-Party Risk Management in Financial Services - A Practical Guide

TBC , London

Outsourcing & Third-Party Risk Management in Financial Services - A Practical Guide

RiskMinds

The RiskMinds Virtually Everything Pass 2021

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