• Momentum Meets: Hazel and Steve (Compliance Team)

  • 2024/11/20
  • 再生時間： 27 分
  • ポッドキャスト

Momentum Meets: Hazel and Steve (Compliance Team)

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  • We focus on Compliance and Governance - a crucial area for brokerages, both new and established. Joining Alistair Body are two members from our very own Compliance Team: Steve Walton, Quality and Compliance Director and Helen Webster, Compliance Manager.

    Together, they discuss:

    ✅ The importance of compliance with an example that saw a brokerage being wound up

    ✅ How they’re expanding learning tools to better support CPD points

    ✅ Effective oversight and partnership strategies for Appointed Representatives

    Steve and Helen also share their forward-thinking perspectives on fostering partnerships, maintaining transparency around complaints, and preparing for the next wave of regulatory changes.

    If you're looking to start your own brokerage and want more information on how Momentum Broker Solutions can support your journey, then reach out to Alistair Body on LinkedIn.


    Hosted on Acast. See acast.com/privacy for more information.
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あらすじ・解説

We focus on Compliance and Governance - a crucial area for brokerages, both new and established. Joining Alistair Body are two members from our very own Compliance Team: Steve Walton, Quality and Compliance Director and Helen Webster, Compliance Manager.

Together, they discuss:

✅ The importance of compliance with an example that saw a brokerage being wound up

✅ How they’re expanding learning tools to better support CPD points

✅ Effective oversight and partnership strategies for Appointed Representatives

Steve and Helen also share their forward-thinking perspectives on fostering partnerships, maintaining transparency around complaints, and preparing for the next wave of regulatory changes.

If you're looking to start your own brokerage and want more information on how Momentum Broker Solutions can support your journey, then reach out to Alistair Body on LinkedIn.


Hosted on Acast. See acast.com/privacy for more information.
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