Market Abuse

Every so often, a regulator in a major financial centre says that levels of market abuse are causing concern. That triggers investigations and those investigations, increasingly, involve regulators in other jurisdictions.

The regulation and risk management of market abuse is becoming increasingly complex.

Topics

Risk makers and risk takers
Leaks, taps, tips and careless whispers
Regulatory Regimes
Penalties
Outsourcing
Social media
Standing with one foot on each side of a Chinese Wall
Related money laundering
Monitoring suspicious transactions
Market manipulation
Insider trading
International Co-operation
International Enforcement
Monitoring communications

Who should attend?

This course is designed for those in positions of responsibility in public companies, dealers and advisers in securities including investment banking and related fields including:

Compliance officers
Risk managers
Fraud teams
Internal Audit
Company Directors - public companies
Company Directors - considering IPO
Shareholder action
Prosecutors
Regulators
Legislators
Market supervisors

Relevant Industries

All public companies
All companies considering IPO
Retail banks
Investment banks
Investment / hedge funds
Company registrar
Company secretarial
Securities dealers
Commercial concerns
Market supervision
Regulation / Enforcement
Legal
Audit

Reasons to attend?

Prosecutions and regulatory action are increasing.

Professionals, directors, advisers and even their families are being jailed or other penalties applied.

Penalties are increasing.

Confidence in markets is undermined and regulators have said enough is enough.

 


 

© 2015 Nigel Morris-Cotterill
All rights reserved