Back Trading Compliance Quorum

Members will next meet on the 16th Sep to discuss the latest compliance issues

Time: 10:30 - 12:00 noon - followed by Winter Reception and networking

Venue: Small Reception Room - One Moorgate Place, London, EC2R 6EA

Moderated by: Anne-Maria Rothenstein, MD, Themis Interim Management

Guest speaker: Andrew Pullman, CEO, People Risk Solutions Ltd

Discussion themes

  • Behaviour and conduct
    - Changes to the Senior Manager and Certification Regime (SMCR)
    - Failure to prevent fraud
  • Preparing for MiFID III