Compliance Forum: Market Abuse 2025 Update with Shapes First 📣 2nd Session Announced ! Due to popular demand we have had to arrange a 2nd Session on the above roundtable topic (but places are limited, please register below asap). The 1st Session tomorrow is sold out, no further places available. Please join The Broker Club along with Simon Tweddle from Shapes First to explore the evolving landscape of Market Abuse and challenges for regulated firms in 2025. 📅 Date: Wednesday 29th January 🕡 Time: 8:30am – 10am 📍 Venue: Eight Club Bank To register for the 2nd Session click on our website link below - https://lnkd.in/ez2ciYnF 📬 or email us at events@thebrokerclub.org #thebrokerclub #shapesfirst #compliance #marketabuse #risk
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Shapes First is a boutique management consultancy business. We are seasoned specialists that deliver coherent solutions for our clients ➜ Get in touch
📢 Looking forward to sharing my thoughts with The Broker Club members tomorrow and next week. 💬 ✅ Pleased to be invited back to speak on what has been a Financial Conduct Authority priority in the sector for a number of years. #ShapesFirst #ShapingUpForTheFuture #MarketAbuse #FinancialCrime #RegulatoryCompliance #RiskManagement
Compliance Forum: Market Abuse 2025 Update with Shapes First 📣 2nd Session Announced ! Due to popular demand we have had to arrange a 2nd Session on the above roundtable topic (but places are limited, please register below asap). The 1st Session tomorrow is sold out, no further places available. Please join The Broker Club along with Simon Tweddle from Shapes First to explore the evolving landscape of Market Abuse and challenges for regulated firms in 2025. 📅 Date: Wednesday 29th January 🕡 Time: 8:30am – 10am 📍 Venue: Eight Club Bank To register for the 2nd Session click on our website link below - https://lnkd.in/ez2ciYnF 📬 or email us at events@thebrokerclub.org #thebrokerclub #shapesfirst #compliance #marketabuse #risk
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The challenges of effective enterprise-wide financial crime risk assessments depend on where you are on your journey. Download our free guide to find out the steps we recommend to take at each step of the maturity curve. https://hubs.la/Q02Fc0Z00 #RiskAssessments #RiskMaturity #ComplianceProfessionals #Compliance #RiskProfessionals #Regtech #FinancialCrime
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The challenges of effective enterprise-wide financial crime risk assessments depend on where you are on your journey. Download our free guide to find out the steps we recommend to take at each step of the maturity curve. https://hubs.la/Q02Fc3p00 #RiskAssessments #RiskMaturity #ComplianceProfessionals #Compliance #RiskProfessionals #Regtech #FinancialCrime
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The rise of front running, insider trading, and other market abuse cases indicate that many institutions’ market controls are falling short. To mitigate operational, reputational, and #regulatory risk and create a fair marketplace for investors, financial services institutions should consider deploying a holistic conduct risk management framework with a technology-rich approach for their dealing rooms. For more insights, dive into our #blog here: https://deloi.tt/3KJSHJr Rohit Berry, Bimal Modi, Nikhil Bedi, K.V. Karthik, Soniya Mahajan #SecuritiesMarket #MonitoringTrades #ConductRiskManagement #DealingRooms #RegulatoryRisks #Forensic #FinancialCrime
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Anti Financial Crime and ESG compliance expert - Head of Compliance Solutions DACH, Benelux, & CEE at Moody's
Moody's new report on the intricate connections between different types of #FinancialCrime provides some fascinating findings. The report digs into insights from our Grid screening database to shed light on the connection between #SanctionsEvasion, #Corruption, money laundering, and #OrganisedCrime in Europe, emphasising how deep the connections often go. It’s a must-read for everyone in the risk management and compliance space, so don’t miss it! https://lnkd.in/e7K4B9rG
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See how J2 Risk Advisors use our solutions to enhance the accuracy of their investigations by drawing on public databases, media coverage, and court records. 🔗https://ow.ly/mW7O50Us8NN #Risk #Fraud
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See how J2 Risk Advisors use our solutions to enhance the accuracy of their investigations by drawing on public databases, media coverage, and court records. 🔗https://ow.ly/cobU50Ue7TW #Risk #Fraud
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Stay compliant and secure with our PEP Sanction List, featuring: 📌 Adverse Media Tracking 📌 Bankruptcy Reports 📌 Financial Regulator Monitoring 📌 Risk Ratings 📌 Case Management 📌 Enhanced Due Diligence Explore a smarter way to protect your business. Get Started 👉 https://lnkd.in/dxCqC6ws #Compliance #RiskManagement #PEPList #SanctionList #DueDiligence #BusinessSecurity #AML #KYC #FinancialCompliance #Prembly
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Exams coming to T+1: SEC issues Risk Alert alerting market participants to be prepared for the shorter settlement cycle. The impending May 28 transition date is close - what will regulators be looking for? Read more in our latest Regulatory Insights. #regulations #risk #sec
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See how J2 Risk Advisors use our solutions to enhance the accuracy of their investigations by drawing on public databases, media coverage, and court records. 🔗https://gag.gl/gxy8uz #Risk #Fraud
Shapes First is a boutique management consultancy business. We are seasoned specialists that deliver coherent solutions for our clients ➜ Get in touch
2moTwo more FCA publications including this subject since the 1st session last week: The “Money Laundering Through Markets (MLTM) Review” and another Portfolio Letter to Wholesale Brokers. I’ll be bringing some of that to the session on Wednesday.