Since the Market Abuse Regulation came into effect in the UK in July 2016, the FCA has made clear that it is focusing on firms’ systems and controls to prevent market abuse, and that it places as strong an emphasis on identifying weaknesses in regulated firms’ controls as it does in pursuing the abuse itself.
Implementing what is required has been a daunting task for the compliance function across a range of financial institutions. While the fast approach of the MiFID II deadline further complicates the issue.
This conference, the seventeenth in the series, aims to alleviate the challenges through a mixture of presentations and interactive panel sessions from policy makers, industry practitioners and leading experts in the field.
We are pleased to announce that Julia Hoggett, Director of Market Oversight, FCA will give the keynote address.
The sessions will be as follows:
This event should be attended by management and members of the compliance departments and in-house legal teams within all financial service firms and their legal advisers.
Tuesday, November 14, 2017 8:40 AM - 4:40 PMGMT Time
Amba Marble ArchBryanston St, MaryleboneLondon W1H 7EHUnited Kingdom0800 330 8523