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Market Abuse Regulation Post Covid-19 Online Summit
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Agenda

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  • Monday, October 12, 2020
    • Monday, October 12, 2020
    •  
      8:55 AM  -  10:40 AM
      SESSION I:

      Session moderator’s opening remarks

      Angela Hayes, Partner, TLT LLP

      ----

      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

      ----

      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

      ----

      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

      Speaker Biogs:
      • Julia Hoggett, 
      • Angela Hayes, 
      • Carlo Milia 
      10:40 AM  -  11:15 AM
      Morning Break
      11:15 AM  -  12:50 PM
      SESSION II:

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

      Session moderator’s opening remarks

      Ian Mason, Partner, Gowling WLG

      ----

      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

      ----

      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

      Speaker Biogs:
      • Mark Compton, 
      • Katy Hyams, 
      • Ian Mason, 
      • Alexander McDonald, 
      • Martin Pluves, 
      • Ryan Taylor 
      12:50 PM  -  2:00 PM
      Networking & lunch
      2:00 PM  -  3:30 PM
      SESSION III:

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

      Session moderator’s opening remarks

      Alex Ainley, Partner, Simmons & Simmons
      ----

      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
      ----

      Suspicious transaction and order reporting

      Panellists

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

      Speaker Biogs:
      • Alex Ainley, 
      • David Churton, 
      • Jamie Corner, 
      • Matthew Coupe, 
      • Ruari Ewing, 
      • Cuthbert Kendall 
      3:30 PM  -  4:15 PM
      Networking & afternoon tea
      4:15 PM  -  5:30 PM
      SESSION IV:

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

      Session moderator’s opening remarks

      Oliver Pegden, Partner, Clifford Chance

      ----

      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

      Speaker Biogs:
      • Fleur Eysenck, 
      • Andrew George QC, 
      • Greg Leonard, 
      • Oliver Pegden 
      5:30 PM  -  5:30 PM
      Conference close
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