• Upcoming Events

    Compliance training, workshops and events

    As well as running bespoke courses for individual clients, we also host general and sector-specific events. This includes everything from briefings that put new themes and issues on your radar, through to deep-dive training that gives you all the knowledge you need to tackle a thorny regulatory issue, or to feel more confident in your role.

    Our training sessions cover hot new topics, as well as core topics that clients want to regularly revisit and stay on top of.

     

    We use our briefings to introduce new themes and issues, and round tables for discussing the impact of changes on the industry.

    BWB Compliance events calendar

    Below you'll find details of our upcoming events, and how to book if you'd like to get involved.

    Alternatively, contact us for a bespoke session!

    Whether it's a 1-2-1 or a firm-wide session, we make sure you get real value out of the time you spend on the course by creating content specific to your business.

  • BWB compliance round table

    Powers of Attorney & Historic Investments

    1 August 2017

    An industry round table for asset managers and portfolio managers considering how to address scenarios where applications have been received from powers of attorney historically. Attendees should expect an interactive discussion held under Chatham House rules.

     

    Location: 10 Queen Street Place

    Format: Morning round table, 9.00am to 10.30am

    Cost: Free, by invitation

    Request invitation

    BWB Compliance briefing

    Regulation & EIS

    23 August 2017

    Just ahead of the summer drinks on our roof terrace, we'll be hosting a compliance workshop for any EIS Green Shoot members keen to get a bitesize download on the key regulatory issues for EISA members.

     

    Location: 10 Queen Street Place

    Timings: 5.30pm to 6.15pm

    Cost: Free, Green Shoot Members only

    Request invitation

    BWB Compliance event

    Green Shoots Summer Social

    23 August 2017

    We're hosting the EIS Association's Green Shoots summer drinks on our splendid rook terrace. Green Shoots is the junior branch of the EISA, providing young professionals in the industry the chance to independently develop their own networks, interest and awareness of the world of alternative investments.

     

    Location: Roof terrace, 10 Queen Street Place

    Timings: 6.30pm onwards

    Cost: Free, Green Shoot Members only

    Become an EISA Green Shoots member

    BWB Compliance round table

    New marketing landscape for tax efficient products

    26 September 2017

    An industry round table ahead of the new fundraising season to discuss the implementation of PRIIPs as well as MiFID II changes in the EIS, SEIS, VCT, BPR and SITR documentation. Attendees should expect an interactive discussion held under Chatham House rules.

     

    Location: 10 Queen Street Place

    Format: Afternoon round table, 2.30pm to 4pm

    Cost: Free, by invitation

    Request invitation

    BWB Compliance hot topic training

    MiFID II for Investment Platforms

    28 September 2017

    This course explores the changes arising from MiFID II and the impact on online platforms that arrange investments. All investment platforms are impacted by the new regulation arriving on 3 January 2018 and need to be prepared for the changes. In this course we will be looking at the requirements affecting investment platforms, specifically including the new appropriateness; best execution; product distribution; and knowledge and competence requirements.

     

    Location: 10 Queen Street Place

    Format: Full day training

    Cost: £825 (excl. VAT)

    Read More & Book

    BWB Compliance briefing

    Senior Managers & Certification Regime

    5 October 2017

    The FCA is proposing to extend the Senior Manager's Regime to all firms. What could this mean for your senior managers, your hiring strategy and how you run your firm? We take a look at the detail ahead of the consultation period closing on 3 November.

     

    Location: 10 Queen Street Place

    Timings: 5.30pm for 6pm start, followed by drinks and networking from 7pm

    Cost: Free

    Reserve your spot by email

    BWB Compliance hot topic training

    MiFID II for Fund Managers

    5 October 2017

    This course explores how MiFID II applies to EIS, VC (inc. VCTs) and PE fund managers. Both full-scope and small authorised AIFMs will be affected by the new regime which applies from 3 January 2018. In this course we will be looking at the impact on these fund managers, specifically including the controversial new telephone taping rules; the little discussed knowledge and competence requirements ;and the tricky new product governance rules.

     

    Location: 10 Queen Street Place

    Format: Full day training

    Cost: £825 (excl. VAT)

    Read More & Book

    BWB Compliance round table

    Gifts, entertainment & commission

    24 October 2017

    An EIS & VCT industry round table looking at the impact of the changing approach to inducements as a result of MiFID II and how that may impact distribution channels. Attendees should expect an interactive discussion held under Chatham House rules.

     

    Location: 10 Queen Street Place

    Format: Afternoon round table, 2.30pm to 4pm

    Cost: Free, by invitation

    Request invitation

    BWB Compliance training

    Compliance Officer 101

    2 November 2017

    A one-stop shop for Compliance Officers and other compliance professionals, covering both the technicalities and practicalities of the regime. This course will cover the regulatory requirements of firms and how that drives the role of compliance, together with how compliance officers manage their role in practice.

     

    Location: 10 Queen Street Place

    Format: Full day training

    Cost: £625 plus VAT

    Reserve your spot by email

    BWB Compliance training

    Financial Promotions training

    7 November 2017

    This workshop is designed for compliance and marketing professionals involved in the preparation or sign off of financial promotions, from long-form brochures to snappy social media posts. We will explore the regime including the restriction on making promotions, the exemptions and how to make the content compliant. You can expect technical detail, insights into the FCA's approach and how to make judgment calls in practice.

     

    Location: 10 Queen Street Place

    Format: Half-day training

    Cost: £425 plus VAT

    Reserve your spot by email

    BWB Compliance training

    Anti-Financial Crime training

    February 2018

    This half-day's training provides an overview of all 5 areas of financial crime that the FCA requests firms focus on. We will cover the technicalities of the regimes, look at good and bad practice in firms and explore the role of compliance and the MLRO in preventing financial crime from occurring. The range of topics include 1) anti-money laundering (AM)L with counter-terrorist financing (CTF) sanctions 2) insider dealing and market abuse, 3) bribery, 4) fraud and 5) data security.

     

    Location: 10 Queen Street Place

    Format: Half-day training (exact date TBD)

    Cost: £425 plus VAT

    Reserve your spot by email

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