Complimentary CeFPro Webinar

FCA Compliance to market abuse regulation: Identifying conflicts to prevent market abuse

This live webinar took place on Tuesday 10 November, 10am GMT

Webinar Agenda:

Key agenda topics discussed include:

Identifying and Preventing Conflicts of Interest
Types of Conflicts and real cases example (situations in which a conflict could arise)
Identification and Disclosure of Insider Information
Personal Account Dealing and PAD policy under FCA Rules
Practical challenges

Speakers:

Keith Pyke
Solution Sales
MyComplianceOffice

Sophie Dupre-Echeverria
Chief Risk & Compliance Officer
Gulf International Bank

William Yonge
Partner in Financial Services
Morgan Lewis

26th November 2019

Credit Portfolio Management: An evolving subject

By Catherine Keane, Head of Bank and Country risk, Bank of Ireland

21st October 2019

Reviewing rate options, fall back language and pace of adoption across the major currencies and the ability to work across multiple jurisdictions

By Alaistair Sharp, Head of Short Term Interest Rate Trading London, Credit Suisse

27th September 2019

Understanding how firms can develop internal transition plans, systems and modelling to ensure they are operationally ready

By Sandeep Bhorkar, Director, IBOR Transition, Société Générale Disclaimer: All of the views, opinions and interpretations presented herein are solely those of the speaker and should […]

FCA Compliance to the market abuse regulation: Identifying conflicts to prevent market abuse