Quick update: changes in brokers’ obligations in 2024

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.

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

• 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...

Interactive presentations:

• Use of visual presentations to explain key concepts.
• Incorporation of interactive elements such as Q&A and discussion to keep participants engaged.

Knowledge quiz of a few questions in the form of MCQs introduced at the beginning of the session.

Certificate provided at the end of the session, subject to completion of the quiz.

An e-mail is sent the day before the course with details of the videoconference.

For non-APCAL members, payment for the course must be made before registration is confirmed.
If you have any questions about invoicing, please contact us.

Best practice:

• Arrive 5 to 10 minutes before the course
• Before the course: do an audio test (all too often videoconferences lose 10 to 15 minutes due to connection problems)
• Be punctual for the start of the course

A few recommendations:

• Use headphones
• Use a silent environment
• Have a good internet connection
• Switch off your mobile phone for the duration of the course
• Avoid doing several things at the same time
• Set up in an isolated and convenient place for your cables and to take notes.
• Isolate yourself from all distractions and noise (television, kitchen, etc.) for the duration of your training.
• Set up in your dedicated space, an office for example, and make sure you lock the door when you're working - so that your children don't turn up unexpectedly;)