Market Abuse - A comprehensive guide March - European Institute of Management and Finance

Market Abuse – A Comprehensive Guide

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 European Union 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 3^rd of July 2016, the implementation is incomplete in certain parts as it is connected to the Markets in Financial Services Regulation (commonly known as MiFID II), which is not due to come into force till the 3^rd of January 2018.

This workshop aims to highlight some of the key changes and remaining challenges in ensuring that the market abuse regime is effectively implemented. This workshop will be of interest to 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 MAR 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 MAR including increased monitoring and surveillance of trading venues and financial instruments.

Explore key issues related to changes introduced by the Market Abuse 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 European Market Abuse Requirements and the application by Cyprus Securities and Exchange Commission (CySec).
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 3^rd 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

[vc_tta_tabs color=”juicy-pink” active_section=”1″]

Details

DATE: 26 March

DURATION: 5 Hours

CPD UNITS: 5

LOCATION: EIMF Premises, Nicosia

TIME: 09:00 – 14:30

FEES: €220 + VAT

Additional Dates and Similar Seminars

Start Date	Course Title	Location	CPD Units	Status
22 May	Promotion of Financial Products – a Regulatory Approach	Nicosia	5	UPCOMING
23 May	Handling Clients Complaints	Nicosia	5	UPCOMING
6 July	CySEC Regulatory Fundamentals: Overview of the Investment Services Sector	Nicosia	5	UPCOMING

[/vc_tta_tabs]

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

If you need help completing the online registration form, please give us a call at 2227 4470 or email us at [email protected]

In-House Training

If you need help completing the online registration form, please give us a call at 2227 4470 or email us at [email protected]

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.

Moodle ｜ WebMail ｜ Library ｜ Contact Us｜

Market Abuse – A comprehensive guide March