Session moderator’s opening remarks

Angela Hayes, Partner, TLT LLP

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Keynote address: How has the Covid-19 crisis affected firms’ market abuse risk and what steps should they take to address them?

Julia Hoggett, Director of Market Oversight, Financial Conduct Authority

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Managing the new risks posed by the Covid-19 crisis

Panel discussion:

• Issuers’ disclosure obligations when raising capital
• Risks of delayed disclosure
• The move to working from home: monitoring the dissemination and use of inside information by remote workers
• Ensuring effective suspicious transaction reporting remotely

Panellists

Louise Rodger, Director, AFME
Mark Bicknell, MD, Associate General Counsel, EMEA, Bank of America Merrill Lynch

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Update on market conduct enforcement in Europe and beyond

• Where have there been successes?
• What is the focus of current enforcement effort?
• Cross border cooperation between regulators
• What next?

Panellists

Catherine May Dias, Senior Technical Adviser, Investigations and Inspection Division, AMF
Carlo Milia, Director, Head of the Market Abuse Investigation Office, CONSOB
Julia Von Buttlar, Deputy Head, Division of Administrative Offence Proceedings, BaFIN

PLEASE NOTE THAT THIS SESSION WILL BE HELD UNDER THE CHATHAM HOUSE RULE

Session moderator’s opening remarks

Ian Mason, Partner, Gowling WLG

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Aligning market abuse surveillance and controls with AML/financial crime surveillance and controls

• Regulatory expectations
•  Impact of Chapter 8 of the FCA's financial crime guide
• What does this mean in practice for surveillance and reporting controls?

Panellists

Mark Compton, Head of EMEA Markets and Treasury Compliance, BNY Mellon
Ryan Taylor, Global Head of Compliance, Brevan Howard

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Foreign Exchange and Commodities

• Industry Codes and SM&CR Conduct Rule 5
• Should the perimeter of the EU Market Abuse Regulation be extended?

Panellists

Martin Pluves, CEO, FICC Market Standards Board
Katy Hyams, Head of Regulatory Policy, LME
Alexander McDonald, CEO, European Venues and Intermediaries Association

PLEASE NOTE THAT THIS SESSION WILL BE HELD UNDER THE CHATHAM HOUSE RULE 

Session moderator’s opening remarks

Alex Ainley, Partner, Simmons & Simmons
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Market soundings – is the MAR regime working?

Panellists

Ruari Ewing, Senior Director, Market Practice and Regulatory Policy, ICMA
Jamie Corner, Partner, Simmons & Simmons
Cuthbert Kendall, Director, Legal, Barclays
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Suspicious transaction and order reporting

Panellists

David Churton, Global Head of Monitoring, Morgan Stanley
Matthew Coupe, Director, Market Structure, Barclays Investment Bank

PLEASE NOTE THAT THIS SESSION WILL BE HELD UNDER THE CHATHAM HOUSE RULE

Session moderator’s opening remarks

Oliver Pegden, Partner, Clifford Chance

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Market manipulation enforcement

• Trends in market manipulation enforcement vs insider dealing
• Strategies to identify and prevent manipulative behaviour

Panellists
Fleur Eysenck, Legal Counsel, Senior Vice President, Barclays
Andrew George QC, Blackstone Chambers
Greg Leonard, Senior Vice President, Cornerstone Research