Quick update : changes in brokers' obligations in 2024 - EN

Speaker : Lorenzo Stipulante

This session is aimed at those who have already followed the training course on the subject.

Objective :

Bringing to a close parts 1 and 2 of the "Legal and administrative obligations of brokers" theme, the aim of this rapid review is to take stock of developments observed during 2024 with regard to the latest regulations and requirements linked to compliance and the best practices to be followed.

Content :

This training session will review the latest developments in 2024 relating to the legal and administrative obligations specific to brokers.

Points covered :

• basic obligations of brokerage company directors
• reference laws
• obligations towards the CAA and customers (particularly in terms of AML/CFT, complaints, training, sanctions)
• distribution obligations
• IDD
• rules of conduct
• LPS...

Host or Publisher APCAL