European Institute of Management and Finance | Market Abuse Regime
21515
page-template-default,page,page-id-21515,ajax_fade,page_not_loaded,,qode-child-theme-ver-1.0.0,qode-theme-ver-6.7,wpb-js-composer js-comp-ver-4.12,vc_responsive

Market Abuse Regime

A Revisit to the Market Abuse Regime (MAR)

The Market Abuse Regime seeks to increase market integrity and investor protection, while ensuring a single rulebook and level playing field across the European Union. The Market Abuse Regime strengthened the existing UK market abuse framework by extending its scope to new markets, new platforms and new behaviours. The legislation contained prohibitions for insider dealing and market manipulation, provisions to prevent and detect these.

Though the new regime came into force on the 3rd of July 2016, the implementation is incomplete in certain parts as it is connected to the Markets in Financial Services Directive and Regulation (commonly known as MiFID II), which is not due to come into force till the 3rd of January 2018. This briefing aims to highlight some of the key changes and remaining challenges in ensuring that the market abuse regime is effectively implemented. This three hour briefing aims to support those with the responsibility for the oversight of financial crime including senior managers, regulatory risk, audit, compliance and those at the cold face.

Expected Outcomes:

This one day workshop will provide delegates an opportunity to revisit the proposals aimed at strengthening and improving market integrity. As well as examining the MAD II proposals which will be extended to financial instruments and trading venues introduced the Markets in Financial Services Directive and Regulation (MiFID II).

 

Attending this workshop will enable you to:

  • Summarise the importance of Market Abuse reforms, the key legislative changes and how they inter-relate with the wider regulatory agenda.
  • Identify the key regulatory changes & challenges across MAD II including increased monitoring and surveillance of trading venues and financial instruments.
  • Explore key issues related to changes introduced by the Market Abuse Regime regime including Market Soundings, Issuer Disclosure of Information, Director’s transactions and enhanced regulatory powers.
  • Develop an awareness of how the Regulation interacts across other European Regulations including MiFID II.

Seminar Content:

Session I         Market Abuse Overview & Update

  • Clarify the UK and European Market Abuse Requirements
  • Identify practical market abuse case studies in relation to insider dealing and market manipulation
  • Illustrate real-world examples of market abuse and global trends

 

Session II        Regulatory Changes – Past, Present & Future

  • Establish key MAD II regulatory requirements including market soundings, investment recommendations and managers transactions
  • Summarise MiFID II requirements which will impact the current market abuse regime including market structure.
  • Examine the changing roles of the National Competent Authorities and responsibility of firms to ensure that MiFIR transaction reporting obligations are enforced from the 3rd January 2017.

 

Session III       Current Challenges for Monitoring & Surveillance

  • Illustrate existing process including recording of communications and transaction reporting that can assist in the production of Suspicious Transaction Reports and Orders (STR/O’s)
  • Identify risks to a firm’s monitoring & surveillance  programme
  • Discuss tools including management information that can support the business in building an effective monitoring and surveillance programme

DATE: 18 September

DURATION: 6 Hours

CPD UNITS: 6

LOCATION: EIMF Premises, Nicosia

TIME: 09:00 – 15:30

FEES: €220 + VAT

Who should attend:

This workshop will be of benefit to anyone who is likely to be working within the market abuse requirements and wishes to develop a greater understanding of the regime, including senior management, legal, compliance and those employees at the coalface

Syllabus

Download Course Content

Registration Form

Download Registration Form

You can register by sending the completed registration form above to info@eimf.eu or via fax to 2227 4475. If you need help completing the form, please give us a call at 2227 4470

In-House Training

If you would like to discuss bringing this or another topic to your organization on an in-house basis please call us at 22274470 or email us at info@eimf.eu.

Instructor: 

Vivienne Bannigan

Vivienne has over 17 years’ experience in Wholesale Capital Markets in both the public and private banking sector in the UK and global markets. Vivienne advises senior management on regulatory policy changes, facilitating the design and delivery of policy and practical frameworks to manage regulatory and operational risk. Vivienne worked on the Market Abuse Directive while and associate at the Financial Services Authority, now the Financial Conduct Authority (FCA), and while being lead Policy Directive for MiFID II at the British Banker’ Association (BBA) supported members and colleagues with Market Abuse related issues. Since March 2015 Vivienne has been designing and delivering bespoke workshops for market abuse.  Vivienne is passionate about education and empowering firms and individuals to be able to manage regulatory and operational risk in a practical manner.