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 EU 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.
In January 2017, the Cyprus Securities and Exchange Commission (CySec) issued a circular on persons wishing to report cases of actual or potential infringements – commonly referred to as whistleblowing. The aim of this workshop is to review the new whistleblowing provisions, their application and the impact of an incentive regime.
Session I Market Abuse Overview & Update
Session II Regulatory Changes – Whistleblowing
Session III Monitoring & Surveillance
DATE: 17 October
DURATION: 5 Hours
CPD UNITS: 5
TIME: 09:00 – 14:30
FEES: €220 + VAT
Who should attend:
This workshop is 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.
If you need help completing the online registration form, please give us a call at 2227 4470 or email us at firstname.lastname@example.org
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 email@example.com.
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.