In house training course on Market Abuse: ensuring compliance under MAR
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Market Abuse: ensuring compliance under MAR

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Outline and Objectives

The Market Abuse Regime (MAR) and Criminal Sanctions Directive (CSMAD), commonly known as MAD II, came into force across the European Union on the 3rd of July 2016. 

The new regime is wider in scope, covering new markets and instruments, as well as introducing new offences, new sanctions and additional obligations on firms and indiviiduals.

Presently MAD II proposals affect all firms and individuals who participate in a regulated market and extends the scope to include financial instruments on Multilateral Trading Facilities (MTFs). From the 3rd of January 2018 MAD II will extend to trading venues and financial instruments, which fall under the scope of MiFID II such as Organised Trading Facilities (OTFs) and commodity derivatives. 

Making extensive use of PRACTICAL ILLUSTRATIONS and EXAMPLES, this focused course will help you:

  • Clarify market abuse requirements and explore the MAD II regulatory changes
  • Examine examples of market abuse, including insider dealing and market manipulation, and where these may arise for firms
  • Assess the key regulatory changes and challenges across MAD II, including increased monitoring and surveillance of trading venues and financial instruments
  • Understand the impact and implications of the reforms and how they inter-relate with the wider regulatory agenda
  • Help your firm and colleagues ensure compliance with the developing regulatory requirements

Who will benefit?

This workshop will be of benefit to anyone who is likely to be affected by the changes to be brought in by MAR, including Senior Management, Legal, Compliance, Regulatory Risk and those dealing directly with clients.

Course Presenter: Vivienne Bannigan

Vivienne is a regulatory risk professional with extensive experience in Wholesale Capital Markets in both the public and private banking sector in the UK and internationally. She advises senior management on regulatory policy changes, facilitating the designing of business strategy and frameworks to manage the regulatory and operational risk. Vivienne has extensive experience of CASS and Transaction Reporting, having had a seat on all sides of the table as a regulator, a consultant, a Operations Compliance Director and most recently being the BBA’s lead policy director of members' response to MiFID II. Vivienne is passionate about sharing practical insights through education on how to consider managing regulatory risk. Vivienne has a BA Jt Hons in Economics and Finance as well as a M.Econ.Sc in European Economics and Public Affairs. During her career she has also gained professional qualifications in programme management.

Course Programme

Session Content
The scope of market abuse
  • What is market abuse?
  • Real-world examples of market abuse

  • Market Abuse Directive vs Market Abuse Regime

  • Key changes in the Market Abuse Regime: market soundings, disclosure
  • 
Director’s transactions and enhanced regulatory powers
Market abuse surveillance
  • Illustrate examples of market abuse, including insider dealing and market manipulation and where these may arise for firms

  • Review current industry trends and practices
  • 
Identify key changes and proposals, including market soundings and manager transactions
  • 
Highlight key risks affecting your business

  • Define Management Information specific to your business, building a collaborative and transparent partnership across stakeholders
Monitoring market abuse
  • Assess the key regulatory changes and challenges across MAD II, including increased monitoring and surveillance of trading venues and financial instruments

  • Explore the expectations for a total, integrated approach to monitoring and surveillance

  • Identify processes within the business that could be harnessed to ensure efficient and effective implementation that enhances business operations

  • Surveillance requirements for trading venues, including high frequency trading (HFT), Organised Trading Facilities (OTFs) and commodity derivatives
Regulatory change: the never-ending story
  • The concept of the Single Rulebook for Prevention of Market Abuse and the impact of Brexit

  • What lies beyond MAD II and how the legislation interacts with MiFID II
Key legislative changes and how they inter-relate with the wider regulatory agenda

  • Highlight the regulatory milestones firms need to consider and how other key regulatory changes may impact the industry
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