Past Event

Broker Breakfast: The Senior Managers and Certification Regime

Date: 24/05/2018
Aimed at: Brokers
Time: 8:00am - 10:00am


A growing number of broking firms are recognising the importance of good governance, pro-active risk management and effective internal controls. Greater regulatory scrutiny and new legislation - such as the forthcoming Senior Manager & Certification Regime - are part of the reason for this. However, increasing operational complexity, unprecedented levels of consolidation in the sector, and enhanced shareholder expectations (particularly for brokers that are Private Equity backed) mean that there are also considerable commercial benefits to more robust governance and internal controls. So:

  • What does good governance mean in practice for the broking sector? 
  • What will the Senior Manager & Certification Regime mean for brokers? 
  • And what are some of the benefits that brokers are seeing from more effective internal control and assurance frameworks?


Breakfast will be served from 8.00am.  The seminar will begin at 8.30am and should conclude by 10.00am.


To register for the seminar, please contact Shannon Skeels on or +44 (0)20 7516 2324.