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