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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:
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.
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.
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|Monitoring market abuse||
|Regulatory change: the never-ending story||